Shaily Gupta
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.
Shaily Gupta was a registered financial professional .
Shaily is a previously registered financial professional and started their career in finance in 2001. Shaily had worked at 4 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 1, 2011 - April 23, 2012
NEWPORT COAST SECURITIES, INC.
August 3, 2006 - July 17, 2009
E*TRADE SECURITIES LLC
March 3, 2006 - July 13, 2006
PORTFOLIO BROKERAGE SERVICES, INC.
January 17, 2001 - January 6, 2005
CHARLES SCHWAB & CO., INC.
January 4, 2001 - January 6, 2005
CHARLES SCHWAB & CO., INC.
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
NEWPORT COAST SECURITIES, INC.
CRD#: 16944 / SEC#: 801-67802, 8-34790
Contact information
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
