Gunther S. Shia
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.
Gunther Sio Oui Singniam Shia, who also goes by Gunther Sid Oui Singniam Shia, Gunther Shia, was a registered financial professional .
Gunther is a previously registered financial professional and started their career in finance in 1998. Gunther had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 26, 2018 - May 23, 2019
REALTA INVESTMENT ADVISORS, INC
April 12, 2010 - February 23, 2018
CITY NATIONAL SECURITIES, INC.
April 12, 2010 - February 23, 2018
CITY NATIONAL SECURITIES, INC.
May 2, 2009 - March 25, 2010
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - March 25, 2010
CHASE INVESTMENT SERVICES CORP.
September 9, 2003 - May 2, 2009
WAMU INVESTMENTS, INC.
September 9, 2003 - May 2, 2009
WAMU INVESTMENTS, INC.
February 25, 2002 - September 10, 2003
OSAIC FA, INC.
February 14, 2002 - September 10, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
February 14, 2002 - September 10, 2003
OSAIC FA, INC.
October 14, 1998 - August 29, 2001
GOLDMAN SACHS & CO. LLC
Primary Firm SEC Registration
REALTA INVESTMENT ADVISORS, INC
CRD#: 134952 / SEC#: 801-68000
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
REALTA INVESTMENT ADVISORS, INC
CRD#: 134952 / SEC#: 801-68000
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,958 |
| AUM (Assets Under Management) | $ 343,465,487 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
