Kisti A. Shah
Professional summary
Kisti A Shah is a registered financial professional currently at CASTLEOAK SECURITIES, LP located in Los Angeles, California.
Kisti is registered as a RR (Registered Representative) and started their career in finance in 2000. Kisti has worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Kisti A Shah's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 10, 2025 - Present
CASTLEOAK SECURITIES, LP
Office #1: 1925 Century Park E Suite 1700, Los Angeles, CA 90067June 19, 2007 - June 20, 2008
UBS SECURITIES LLC
May 1, 2001 - June 8, 2007
J.P. MORGAN SECURITIES INC.
June 26, 2000 - May 1, 2001
JPMSI
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
Series 7TO
Date: 3/10/2025
General Securities Representative ExaminationFINRA
Current Firm
CASTLEOAK SECURITIES, LP
CRD#: 125334 / SEC#: , 8-65786
Contact information
FINRA licenses (50 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JONES, DAVID RODERICK | CHIEF EXECUTIVE OFFICER | 2389684 |
| CASTLEOAK MANAGEMENT, LLC | GENERAL PARTNER | |
| GOMEZ, LUIS J | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4974439 |
| IPPOLITO, PHILIP | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1072137 |
| SKINNER, JEFFREY THOMAS | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 4078336 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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