RS
Rajiv Shah
LAZARI CAPITAL MANAGEMENT
Woodland Hills, CA 91303
Some features on this profile are disabled
CRD#: 3162156
RS
Professional summary
Rajiv Shah, who also goes by Rajiv K. Shah, Rajiv Kirit Shah, is a registered financial advisor currently at LAZARI CAPITAL MANAGEMENT, INC. located in Woodland Hills, California and INNOVA ADVISORS located in Weston, Florida.
Rajiv is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Rajiv has worked at 31 firms and has passed the Series 65, Series 63, Series 52TO, Series 57TO, Series 99TO, Series 82TO, SIE, Series 55, Series 7, Series 6, Series 26, Series 27, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rajiv K. Shah | Rajiv Kirit Shah
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.
1. INNOVAYTE CAPITAL, LLC; (PENDING REGISTRATION) Investment Related: Yes; Three Lincoln Center, Suite 320, 5430 LBJ Freeway, Dallas, TX 75240. Start date: 4/1/2025. 10 hours a month. 4 hours during market hours. Duties: Serve as firm's CCO. 2. KEPLER CAPITAL MARKETS, INC; (CRD#: 139148) Investment Related: Yes; 12 East 49th Street, 31st Floor, New York, NY 10017. Start date: 3/7/2025. 20 hours a month. 10 hours during market hours. Duties: General Supervision. 3. CIBEST CAPITAL SECURITIES, LLC (Formerly- Bancolombia Securities); (CRD#: 316232) Investment Related: Yes; 1221 Brickell Avenue, Suite 2010, Miami, FL 33131. Start date: 12/2/2024. 20 hours a month. 10 hours during market hours. Duties: Option Principal/General Supervision. 4. SEMINARIO SECURITIES; (CRD#: 315218) Investment Related: Yes; 95 Merrick Way, Suite 516, Coral Gables, FL 33134. Start date: 04/3/2024. 20 hours a month. 10 hours during market hours. Duties: Option Principal. 5. SHELLMAN INVESTMENT MANAGEMENT, LLC; (CRD#: 316579) Investment related: Yes; 2525 Ponce de Leon Blvd, Suite 300, Coral Gables, FL 33134. Start Date 2/12/2024.Time devoted 10 hours per month, 5 hours during trading hours. Duties: Serve as firm's CCO. 6. INNOVA ADVISORS; (CRD#: 318958) Investment Related: Yes; 1110 Brickell Avenue, Suite 802, Miami, FL 33133. Start date: 1/18/2024. 20 hours a month. 5 hours during market hours. Duties: Serve as firm's CCO. 7. D BORAL CAPITAL; (CRD#: 103792) Investment Related: Yes; 590 Madison Avenue, New York, NY 10022. Start date: 06/17/2020. Time devoted: 15 hours a month. 5 hours during market hours. Duties: Sales Supervision - review and approval of the firm's daily trade blotter, email review. 8. CGIS SECURITIES, LLC; (CRD#: 155984) Investment Related: Yes; 990 Biscayne Blvd, Suite0-901, Miami, FL 33132. Start date: 02/10/2020. Time devoted: 10 hours a month. 5 hours during trading hours. Duties: Options Principal. 9. INVESTMENT PLACEMENT GROUP; (CRD#: 14458) Investment Related: Yes; 501 West Broadway, Suite 1350, San Diego, CA 92101. Start date: 9/5/2019. 20 hours per month. 10 hours during trading hours. Duties: Sales Supervision - review and approval of the firm's daily trade blotter. 10. KINGSWOOD CAPITAL PARTNERS; (CRD#: 288989) Investment Related: Yes; 11440 West Bernardo Court, Suite 300, San Diego, CA 92127. Start date: 06/15/2018. Time devoted: 30 hours per month. 15 hours during trading hours. Duties: Sales Supervision - review and approval of the firm's daily trade blotter, email review. 11. LAZARI CAPITAL MANAGEMENT, INC; (CRD#: 172932) Investment Related: Yes; 6928 Owensmouth Avenue, Suite 200, Los Angeles, CA 91303. Start date: 05/16/2018. Time Devoted: 20 hours per month. 10 hours during trading hours. Duties: Consultant - Provide advice and guidance directly to the firm's principal related to option and hedging strategies.
CRS (Client Relationship Summary) - RIA
Click below to view Rajiv 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®
NoneExperience
Current
May 16, 2018 - Present
LAZARI CAPITAL MANAGEMENT, INC.
Office #1: 6928 Owensmouth Ave. #200, Woodland Hills, CA 91303RIA
CRD#: 172932
Woodland Hills, CA
Current
January 18, 2024 - Present
INNOVA ADVISORS
RIA
CRD#: 318958
Weston, FL
Current
February 12, 2024 - Present
SHELLMAN INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 316579
WESTON, FL
Current
June 15, 2018 - Present
KINGSWOOD CAPITAL PARTNERS, LLC
Office #1: 126 E 56 St Suite 301, New York, NY 10022BD
CRD#: 288898
New York, NY
Current
September 5, 2019 - Present
INVESTMENT PLACEMENT GROUP
Office #1: 501 West Broadway Suite 1350, San Diego, CA 92101BD
CRD#: 14458
SAN DIEGO, CA
Current
February 10, 2020 - Present
CGIS SECURITIES LLC
BD
CRD#: 155984
WESTON, FL
Current
June 17, 2020 - Present
D. BORAL CAPITAL
Office #1: 590 Madison Ave 39th Floor, New York, NY 10022BD
CRD#: 103792
New York, NY
Current
April 3, 2024 - Present
SEMINARIO SECURITIES
Office #1: 95 Merrick Way, Suite 516, Coral Gables, FL 33134BD
CRD#: 315218
CORAL GABLES, FL
Current
December 2, 2024 - Present
CIBEST CAPITAL SECURITIES, LLC
BD
CRD#: 316232
Weston, FL
Current
March 7, 2025 - Present
KEPLER CAPITAL MARKETS, INC.
Office #1: 12 East 49th Street 31st Floor, New York, NY 10017BD
CRD#: 139148
New York, NY
Past
January 16, 2025 - April 7, 2025
ZEST
RIA
CRD#: 316889
Weston, FL
Past
September 19, 2024 - October 1, 2024
VLB CAPITAL
RIA
CRD#: 324885
Weston, FL
Past
December 4, 2023 - March 26, 2024
BGV SECURITIES
BD
CRD#: 315086
MIAMI, FL
Past
November 2, 2023 - July 11, 2025
CREDICORP CAPITAL LLC
BD
CRD#: 136791
MIAMI, FL
Past
March 14, 2022 - September 1, 2022
CREDICORP CAPITAL LLC
BD
CRD#: 136791
MIAMI, FL
Past
February 7, 2022 - November 2, 2022
LATIN SECURITIES INC.
BD
CRD#: 164117
MIAMI, FL
Past
May 3, 2021 - June 20, 2023
PUENTE ASESORAMIENTO DE INVERSIONES, LLC
RIA
CRD#: 311609
WESTON, FL
Past
November 30, 2020 - May 3, 2023
PUENTE SERVICIOS FINANCIEROS LLC
BD
CRD#: 304587
MIAMI, FL
Past
July 27, 2017 - June 15, 2018
SGMA CAPITAL MARKETS LIMITED
BD
CRD#: 135327
Weston, FL
Past
July 10, 2017 - July 26, 2017
NEXT FINANCIAL GROUP, INC.
RIA
CRD#: 46214
SAINT AUGUSTINE, FL
Past
June 2, 2017 - July 26, 2017
NEXT FINANCIAL GROUP, INC.
BD
CRD#: 46214
SAINT AUGUSTINE, FL
Past
October 24, 2014 - June 8, 2015
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
JACKSONVILLE, FL
Past
September 30, 2014 - June 8, 2015
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
JACKSONVILLE, FL
Past
May 11, 2011 - September 18, 2014
KOVACK ADVISORS, INC.
RIA
CRD#: 140808
FT. LAUDERDALE, FL
Past
April 28, 2011 - January 18, 2012
CRESCENT PALM CAPITAL PARTNERS LLC
RIA
CRD#: 156095
CLEARWATER, FL
Past
April 27, 2011 - September 18, 2014
KOVACK SECURITIES INC.
BD
CRD#: 44848
FT. LAUDERDALE, FL
Past
May 15, 2008 - August 13, 2010
TD AMERITRADE, INC.
RIA
CRD#: 7870
FT. LAUDERDALE, FL
Past
May 15, 2008 - August 13, 2010
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
FT LAUDERDALE, FL
Past
May 14, 2008 - August 13, 2010
TD AMERITRADE, INC.
BD
CRD#: 7870
FT. LAUDERDALE, FL
Past
February 17, 2005 - May 9, 2008
WADDELL & REED
RIA
CRD#: 866
JACKSONVILLE, FL
Past
February 17, 2005 - May 9, 2008
WADDELL & REED
BD
CRD#: 866
JACKSONVILLE, FL
Past
March 3, 2004 - January 14, 2005
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SPRINGFIELD, IL
Past
February 25, 2004 - January 14, 2005
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
February 25, 2004 - January 14, 2005
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 7, 2003 - January 26, 2004
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
TAMPA, FL
Past
December 16, 2002 - January 26, 2004
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
Past
June 18, 2001 - October 25, 2002
PRUDENTIAL EQUITY GROUP, LLC
RIA
CRD#: 7471
TAMPA, FL
Past
June 18, 2001 - October 25, 2002
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Past
June 16, 2000 - June 13, 2001
AMERIPRISE ADVISOR SERVICES, INC.
BD
CRD#: 5979
DETROIT, MI
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LC
LAZARI CAPITAL MANAGEMENT, INC.
IRON HILL WEALTH MANAGEMENT | TOTAL RETIREMENT PLAN SERVICES, INC. | POLARIS CAPITAL ADVISORS, LLC | LAZARI CAPITAL MANAGEMENT, INC. | KARAPETIAN, MICHAEL L
CRD#: 172932 / SEC#: 801-112927
RIA
Registered Investment Advisory firm - (4/23/2018 Approved)California
Registered Investment Advisory firm - (9/19/2018 Terminated)Florida
Registered Investment Advisory firm - (8/20/2018 Terminated)Nevada
Registered Investment Advisory firm - (9/21/2018 Terminated)Texas
Registered Investment Advisory firm - (8/20/2018 Terminated)Virginia
Registered Investment Advisory firm - (8/21/2018 Terminated)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Alabama(3/7/2025)
RR
Alaska(3/7/2025)
RR
Arizona(3/7/2025)
IAR
California(5/16/2018)
RR
California(6/15/2018)
RR
Colorado(3/7/2025)
RR
Connecticut(3/7/2025)
RR
Delaware(3/7/2025)
RR
District of Columbia(3/7/2025)
IAR
Florida(5/22/2018)
RR
Florida(6/15/2018)
RR
Georgia(3/7/2025)
RR
Hawaii(3/7/2025)
RR
Illinois(3/7/2025)
RR
Iowa(3/7/2025)
RR
Kansas(3/7/2025)
RR
Maine(3/7/2025)
RR
Maryland(3/7/2025)
RR
Massachusetts(3/7/2025)
RR
Michigan(3/7/2025)
RR
Minnesota(3/7/2025)
RR
Missouri(3/7/2025)
RR
Nebraska(3/7/2025)
RR
Nevada(3/7/2025)
RR
New Hampshire(11/8/2024)
RR
New Jersey(3/7/2025)
RR
New Mexico(3/7/2025)
RR
New York(3/7/2025)
RR
North Carolina(3/7/2025)
RR
North Dakota(3/7/2025)
RR
Ohio(3/10/2025)
RR
Oklahoma(3/7/2025)
RR
Oregon(3/7/2025)
RR
Pennsylvania(3/7/2025)
RR
Rhode Island(3/7/2025)
RR
South Dakota(12/18/2024)
RR
Tennessee(3/7/2025)
RR
Texas(3/7/2025)
RR
Utah(3/7/2025)
RR
Vermont(3/7/2025)
RR
Virginia(3/7/2025)
RR
Washington(3/7/2025)
RR
Wisconsin(3/7/2025)
RR
Wyoming(3/7/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 82TO
Date: 1/2/2023
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 4/9/2012
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
LC
LAZARI CAPITAL MANAGEMENT, INC.
IRON HILL WEALTH MANAGEMENT | TOTAL RETIREMENT PLAN SERVICES, INC. | POLARIS CAPITAL ADVISORS, LLC | LAZARI CAPITAL MANAGEMENT, INC. | KARAPETIAN, MICHAEL L
CRD#: 172932 / SEC#: 801-112927
RIA
Registered Investment Advisory firm - (4/23/2018 Approved)California
Registered Investment Advisory firm - (9/19/2018 Terminated)Florida
Registered Investment Advisory firm - (8/20/2018 Terminated)Nevada
Registered Investment Advisory firm - (9/21/2018 Terminated)Texas
Registered Investment Advisory firm - (8/20/2018 Terminated)Virginia
Registered Investment Advisory firm - (8/21/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6928 Owensmouth Ave. #200, Woodland Hills, CA 91303
Mailing Address
Phone number
(818) 264-0610
Established
Firm type
Fiscal year end
# of Employees
14
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,068 |
| AUM (Assets Under Management) | $ 614,623,292 |
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.
