Neel Shah
Professional summary
Neel Shah, who also goes by Neil Shah, is a registered financial professional currently at PEAK6 CAPITAL MANAGEMENT LLC located in Austin, Texas.
Neel is registered as a RR (Registered Representative) and started their career in finance in 2005. Neel has worked at 2 firms and has passed the Series 57TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neel Shah's CRS (Customer Relationship Summary).
Certified licenses
Experience
February 5, 2008 - Present
PEAK6 CAPITAL MANAGEMENT LLC
Office #1: 2010 E. 6th St., Austin, TX 78702May 24, 2005 - November 9, 2005
SLK-HULL DERIVATIVES LLC
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 57TO
Date: 1/2/2023
Securities Trader ExamBOX Exchange LLC
Cboe BZX Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
Miami International Securities Exchange, LLC
NYSE Arca, Inc.
Nasdaq GEMX, LLC
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Current Firm
PEAK6 CAPITAL MANAGEMENT LLC
CRD#: 43773 / SEC#: , 8-50422
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEAK6 CAPITAL MANAGEMENT HOLDINGS LLC | OWNER | |
| MILCAREK, STEVEN DOUGLAS | PRINCIPAL OPERATIONS OFFICER | 3131320 |
| MULLER, BRIAN JAMES | CHIEF RISK OFFICER | 5875890 |
| PITALE, SUJAI VEERDHAVAL | CHIEF COMPLIANCE OFFICER | 5387442 |
| SIMPSON, THOMAS WILLIAM | CHIEF EXECUTIVE OFFICER | 5875785 |
| WARD, JAMES FLANAGAN | FINOP, PRINCIPAL FINANCIAL OFFICER | 6258923 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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