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KS

Kapil S. Shah

Some features on this profile are disabled
CRD#: 4409290
KS

Professional summary

Kapil Shashikant Shah was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Kapil is a previously registered financial advisor and started their career in finance in 2001. Prior to being barred, Kapil had worked at 9 firms, which includes NEWPORT COAST SECURITIES INC., INVESTORS CAPITAL CORP., B. RILEY WEALTH MANAGEMENT, BROOKSTREET SECURITIES CORPORATION, CHADBOURN SECURITIES INC., CARLTON CAPITAL INC., JOSEPH GUNNAR & CO. LLC, GUNNALLEN FINANCIAL INC, CONTINENTAL BROKER-DEALER CORP..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shah Shashikant 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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

April 15, 2008 - August 17, 2011

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
HICKSVILLE, NY
Past

December 12, 2007 - April 11, 2008

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
JERSEY CITY, NJ
Past

July 2, 2007 - November 30, 2007

B. RILEY WEALTH MANAGEMENT

BD
CRD#: 2543
MEMPHIS, TN
Past

October 23, 2006 - July 2, 2007

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
JERSEY CITY, NJ
Past

July 13, 2006 - November 6, 2006

CHADBOURN SECURITIES, INC.

BD
CRD#: 39439
NEW YORK, NY
Past

April 15, 2005 - August 4, 2006

CARLTON CAPITAL INC.

BD
CRD#: 42533
NEW YORK, NY
Past

June 28, 2004 - April 12, 2005

JOSEPH GUNNAR & CO. LLC

BD
CRD#: 24795
UNIONDALE, NY
Past

November 29, 2002 - June 17, 2004

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
NEW YORK, NY
Past

November 29, 2002 - June 17, 2004

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
TAMPA, FL
Past

June 18, 2001 - December 20, 2002

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 6/22/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/15/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 1/18/2007
General Securities Principal Examination

Current Firm

NC
NEWPORT COAST SECURITIES, INC.
GRANT BETTINGEN, INC. | NEWPORT COAST SECURITIES, INC. | NEWPORT COAST SECURITIES | NEWPORT COAST ASSET MANAGEMENT

CRD#: 16944 / SEC#: 801-67802, 8-34790

BD
Terminated by SEC on 10/02/2016
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Contact information

Main Address
1720 Garry Ave. #108, Santa Ana, CA 92705
Mailing Address
Phone number
Established
California since 03/06/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (3/18/2016)

Direct owners and executive officers

NamePositionCRD#
RUBICON FINANCIAL INCORPORATEDOWNER
KESSLER, KRISTOPHER CHARLESCOO4543640
LEE, KEVIN CHONGCHIEF COMPLIANCE OFFICER3143283
ONESTO, RICHARD ERNESTFINOP/CFO2453096
ONESTO, RICHARD ERNESTCEO2453096

Disclosures

Regulatory Event12
Arbitration7

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

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

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