Pravin K. 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.
Pravin K Shah SR, who also goes by Pravin K Shah Jr, Pravin K Shah, Pravin Shah, was a registered financial professional .
Pravin is a previously registered financial professional and started their career in finance in 1973. Pravin had worked at 9 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2015 - December 31, 2016
FINANCIAL AFFAIRS ADVISORY, INC.
May 31, 2011 - May 31, 2016
RIDGEWAY & CONGER, INC.
April 5, 2011 - May 31, 2016
ADIRONDACK TRADING GROUP LLC
March 17, 2011 - April 5, 2011
WORKMAN SECURITIES CORPORATION
March 17, 2011 - April 5, 2011
WORKMAN SECURITIES CORPORATION
January 20, 2004 - December 31, 2010
WRP INVESTMENTS, INC.
January 27, 1987 - December 31, 2014
FINANCIAL AFFAIRS ADVISORY, INC.
August 16, 1977 - January 20, 2004
ADVANTAGE CAPITAL CORPORATION
July 2, 1973 - September 22, 1977
AMERICAN EXPRESS FINANCIAL CORPORATION
July 2, 1973 - September 22, 1977
AMERIPRISE FINANCIAL SERVICES, LLC
July 2, 1973 - September 22, 1977
IDS LIFE INSURANCE COMPANY
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 1
Date: 6/26/1973
Registered Representative ExaminationCurrent Firm
FINANCIAL AFFAIRS ADVISORY, INC.
CRD#: 112121 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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