Gautam 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.
Gautam Shah, who also goes by Gautam C Shah, was a registered financial professional .
Gautam is a previously registered financial professional and started their career in finance in 1998. Gautam had worked at 6 firms and has passed the Series 66, Series 63, Series 31, Series 7 and Series 27 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2023 - November 20, 2023
DAM CAPITAL (USA) INC.
June 14, 2021 - November 15, 2021
DAM CAPITAL (USA) INC.
May 15, 2019 - June 21, 2019
AXIS CAPITAL USA, LLC
June 24, 2002 - December 19, 2002
A.B. WATLEY, INC.
June 1, 2000 - November 6, 2001
MORGAN STANLEY DW INC.
July 7, 1999 - May 26, 2000
GRUNTAL & CO., L.L.C.
October 20, 1998 - July 8, 1999
GKN SECURITIES CORP.
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
DAM CAPITAL (USA) INC.
CRD#: 154945 / SEC#: , 8-68685
Contact information
FINRA licenses (11 States and Territories)
Documents
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.
