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SG

Shelly Garg

EAST WEST MARKETS
New York, NY 10022
Some features on this profile are disabled
CRD#: 5011305
SG

Professional summary

Shelly Garg is a registered financial professional currently at EAST WEST MARKETS, LLC located in New York, New York.

Shelly is registered as a RR (Registered Representative) and started their career in finance in 2005. Shelly has worked at 5 firms and has passed the Series 63, SIE, Series 7TO and Series 7 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) - BD

Click below to view Shelly Garg's CRS (Customer Relationship Summary).

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

Current

July 7, 2025 - Present

EAST WEST MARKETS, LLC

Office #1: 535 Madison Avenue 8th Floor, New York, NY 10022
BD
CRD#: 146871
New York, NY
Past

April 19, 2023 - October 28, 2024

OASIS PRO MARKETS LLC

BD
CRD#: 149420
STAMFORD, CT
Past

April 1, 2019 - February 14, 2022

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

March 20, 2008 - April 21, 2008

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
STAMFORD, CT
Past

September 24, 2007 - March 7, 2008

NATCITY INVESTMENTS, INC.

BD
CRD#: 17490
CLEVELAND, OH
Past

November 10, 2005 - March 19, 2007

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(7/7/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 5/6/2019
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/1/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/19/2019
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 11/9/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

EW
EAST WEST MARKETS, LLC
EAST WEST MARKETS, LLC | ENSTREAM CAPITAL SECURITIES, LLC | ENSTREAM CAPITAL MARKETS, LLC

CRD#: 146871 / SEC#: , 8-67858

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

Main Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Mailing Address
5001 Spring Valley Road Suite 400w, Dallas, TX 75244
Phone number
(469) 801-7397
Established
Texas since 07/17/2006
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (4 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
EAST WEST BANKCORP, INC.SOLE MEMBER
CHIN, PHYLLIS NYUK FAHFINOP/PFO6250921
DOHERTY, JAMES HUGHPOO4197747
HALASY, HALECCO1837514
HOUGH, DAVID BREWSTERCHIEF EXECUTIVE OFFICER4394641

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

EAST WEST MARKETS, LLC

CRD#: 146871New York, NY 10022

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