Sachin N. Shah
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Sachin Narendra Shah, who also goes by Sachin Shah, was a registered financial professional .
Sachin is a previously registered financial professional and started their career in finance in 2001. Sachin had worked at 9 firms and has passed the Series 63, SIE, Series 87, Series 86 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2013 - January 11, 2017
TD PRIME SERVICES LLC
March 19, 2013 - April 19, 2013
DRIVEWEALTH INSTITUTIONAL LLC
July 21, 2011 - December 21, 2012
TULLETT PREBON FINANCIAL SERVICES LLC
December 21, 2009 - July 15, 2011
CAPSTONE GLOBAL MARKETS, LLC
August 29, 2007 - August 3, 2009
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 17, 2006 - August 8, 2006
MILLENCO LLC
January 3, 2005 - January 17, 2006
CATHAY FINANCIAL INC
November 24, 2003 - July 30, 2004
BANC OF AMERICA SECURITIES LLC
April 20, 2001 - December 31, 2002
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TD PRIME SERVICES LLC
CRD#: 1914 / SEC#: , 8-3337
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TORONTO DOMINION HOLDINGS (U.S.A.), INC. | PARENT | |
| BALDASSANO, MATTHEW ANTHONY | MANAGING DIRECTOR, HEAD OF PRIME SERVICES | 1645834 |
| BROADBERY, MICHAEL | CHIEF COMPLIANCE OFFICER | 6947899 |
| GIBSON, GLENN | CHIEF EXECUTIVE OFFICER | 5659024 |
| JENKINS, CHRISTINE J | FINANCIAL & OPERATIONS PRINCIPAL | 4911933 |
| ORTIZ, JORGE LUIS | CHIEF FINANCIAL OFFICER/PRINCIPAL FINANCIAL OFFICER | 2725922 |
| PETROU, CHRISTINA A | CHIEF OPERATING OFFICER | 4007468 |
| PRINCIPATO, ANTHONY JOSEPH | PRINCIPAL OPERATIONS OFFICER / HEAD OF OPERATIONS |
Disclosures
| Regulatory Event | 11 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
