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Vivek V. Shah

Some features on this profile are disabled
CRD#: 4684469
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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.

Vivek Vinod Shah was a registered financial professional .

Vivek is a previously registered financial professional and started their career in finance in 2015. Vivek had worked at 1 firm and has passed the Series 63, SIE and Series 79 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

May 17, 2016 - December 31, 2017

FIRST CRAFT SECURITIES, LLC

BD
CRD#: 159680
ST. MICHAELS, MD
Past

March 24, 2015 - November 10, 2015

FIRST CRAFT SECURITIES, LLC

BD
CRD#: 159680
ST. MICHAELS, MD

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: 4/30/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/24/2015
Investment Banking Registered Representative Examination

Current Firm

FC
FIRST CRAFT SECURITIES, LLC
CONSORTIUM FINANCE SECURITIES LLC | MIDSPAN ADVISORS, LLC | FIRST CRAFT SECURITIES, LLC

CRD#: 159680 / SEC#: , 8-69006

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
202 Mulberry Street, St. Michaels, MD 21663
Mailing Address
P.o. Box 901, St. Michaels, MD 21663
Phone number
(310) 919-8842
Established
Delaware since 05/12/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
CONWAY, DANIEL SCCO, MANAGING MEMBER, FINOP4870523

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

FIRST CRAFT SECURITIES, LLC

CRD#: 159680

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