Shelly Garg
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.
Shelly Garg was a registered financial professional .
Shelly is a previously registered financial professional and started their career in finance in 2005. Shelly had worked at 5 firms and has passed the Series 63, SIE, Series 7TO and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2025 - June 5, 2026
EAST WEST MARKETS, LLC
April 19, 2023 - October 28, 2024
OASIS PRO MARKETS LLC
April 1, 2019 - February 14, 2022
JEFFERIES LLC
March 20, 2008 - April 21, 2008
NATCITY INVESTMENTS, INC.
September 24, 2007 - March 7, 2008
NATCITY INVESTMENTS, INC.
November 10, 2005 - March 19, 2007
LEHMAN BROTHERS INC.
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 7TO
Date: 2/19/2019
General Securities Representative ExaminationCurrent Firm
EAST WEST MARKETS, LLC
CRD#: 146871 / SEC#: , 8-67858
Contact information
FINRA licenses (4 States and Territories)
Documents
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.
