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Samir N. Shah

STORY3 ADVISORS LLC
PACIFIC PALISADES, CA
Some features on this profile are disabled
CRD#: 3133806
SS

Professional summary

Samir Narendra Shah is a registered financial professional currently at STORY3 ADVISORS LLC located in Pacific Palisades, California.

Samir is registered as a RR (Registered Representative) and started their career in finance in 1999. Samir has worked at 5 firms and has passed the Series 63, Series 79TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Samir Narendra Shah's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 29, 2020 - Present

STORY3 ADVISORS LLC

BD
CRD#: 289456
PACIFIC PALISADES, CA
Past

November 13, 2012 - September 22, 2015

INTREPID INVESTMENT BANKERS LLC

BD
CRD#: 154801
LOS ANGELES, CA
Past

August 5, 2010 - November 6, 2012

GUGGENHEIM SECURITIES, LLC

BD
CRD#: 40638
SANTA MONICA, CA
Past

August 30, 2004 - December 31, 2008

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
NEW YORK, NY
Past

January 4, 1999 - November 2, 1999

WORLDCO, L.L.C.

BD
CRD#: 24673
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/29/2020)

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 9/29/2020
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/29/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/28/2004
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

SA
STORY3 ADVISORS LLC
SCOPE ADVISORS LLC | STORY3 ADVISORS LLC

CRD#: 289456 / SEC#: , 8-69997

BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information

Main Address
15020 Altata Dr, Pacific Palisades, CA 90272
Mailing Address
1624 Market St Ste 226 Pmb 43072, Denver, CO 80202
Phone number
(310) 963-9361
Established
Delaware since 04/05/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
STORY3 ADVISORS HOLDINGS, LLCMANAGING MEMBER
COLLINS, ELIZABETH SARAHCFO, FINOP4714831
COMISAR, PETER HARLEYCCO & CEO2018433

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.

Company Information

STORY3 ADVISORS LLC

CRD#: 289456Pacific Palisades, CA

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