DS
Dilip C. Shah
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CRD#: 4565670
DS
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.
Dilip Chunilal Shah, CFP®, who also goes by Dilip C Shah, was a registered financial professional .
Dilip is a previously registered financial professional and started their career in finance in 2002. Dilip had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Dilip C 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. US WEALTH ADVISORS IS ALSO A REGISTERED RIA IN TEXAS. 2. MANAGING PARTNER OF THE DILIP C SHAH FLP ESTABLISHED IN 1989. CREATED PRIMARILY WITH ASSET PROTECTION AND ESTATE PLANNING INTENT. 3. MANAGING PARTNER OF THE D SHAH FLP ESTABLISHED IN 1989. CREATED PRIMARILY WITH ASSET PROTECTION AND ESTATE PLANNING INTENT. 4. MANAGING PARTNER OF KRISH SHAH FLP ESTABLISHED IN 2010. CREATED PRIMARILY WITH ASSET PROTECTION AND ESTATE PLANNING INTENT. 5. MANAGING PARTNER OF GLOBE SOURCE LLC ESTABLISHED IN 1996. CREATED PRIMARILY WITH ASSET PROTECTION AND ESTATE PLANNING INTENT. 6. MANAGING PARTNER OF PURNELL PLAZA LLC ESTABLISHED IN 1991. CREATED PRIMARILY WITH ASSET PROTECTION AND ESTATE PLANNING INTENT. 7. MANAGING PARTNER OF LAKELAND CONSULTING BUSINESS PROCESS AND MARKETING
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®
CFP®
Start date: 2003
Experience
Past
December 6, 2013 - July 1, 2014
REGAL INVESTMENT ADVISORS LLC
RIA
CRD#: 125004
LEWISVILLE, TX
Past
October 17, 2012 - December 31, 2022
U.S. WEALTH ADVISORS, INC.
RIA
CRD#: 164018
CARROLLTON, TX
Past
June 30, 2006 - December 31, 2013
ONYX WEALTH ADVISORS, INC.
RIA
CRD#: 119558
DALLAS, TX
Past
June 30, 2006 - April 19, 2012
CAMBRIDGE LEGACY SECURITIES L.L.C.
BD
CRD#: 103722
LEWISVILLE, TX
Past
January 31, 2006 - July 14, 2006
NORTHWESTERN MUTUAL WEALTH MANAGEMENT COMPANY
RIA
CRD#: 109729
MILWAUKEE, WI
Past
March 3, 2005 - January 31, 2006
NETWORK PLANNING ADVISORS, L.L.C.
RIA
CRD#: 109000
GRAPEVINE, TX
Past
September 19, 2002 - July 14, 2006
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
GRAPEVINE, TX
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".
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)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
State Security Law Exam
General Industry/Product Exam
Current Firm
RI
REGAL INVESTMENT ADVISORS LLC
DURAND CAPITAL PARTNERS, LLC | REGAL INVESTMENT ADVISORS LLC | REGAL FINANCIAL GROUP LLC | REGAL FINANCIAL GROUP | REGAL FINANCIAL ADVISORS | REGAL FAMILY OFFICE | REGAL CHARITABLE, LLC | LIONSHARE
CRD#: 125004 / SEC#: 801-71923
RIA
Registered Investment Advisory firm - (10/19/2010 Approved)Alaska
Registered Investment Advisory firm - (10/21/2010 Terminated)Florida
Registered Investment Advisory firm - (10/21/2010 Terminated)Indiana
Registered Investment Advisory firm - (10/21/2010 Terminated)Michigan
Registered Investment Advisory firm - (11/1/2010 Terminated)Minnesota
Registered Investment Advisory firm - (10/22/2010 Terminated)Nebraska
Registered Investment Advisory firm - (10/21/2010 Terminated)North Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)Ohio
Registered Investment Advisory firm - (10/21/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (10/22/2010 Terminated)South Carolina
Registered Investment Advisory firm - (10/21/2010 Terminated)South Dakota
Registered Investment Advisory firm - (10/21/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (10/21/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2687 44th Street Se, Kentwood, MI 49512
Mailing Address
Phone number
(616) 224-2204
Established
Firm type
Fiscal year end
# of Employees
118
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12,303 |
| AUM (Assets Under Management) | $ 2,447,941,075 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/06/2023 | ||
| 12/06/2023 | ||
| 12/06/2023 |
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.
