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SM

Shilpi Mcgrath

FORGE SECURITIES LLC
New York, NY 10012
Some features on this profile are disabled
CRD#: 5126346
SM

Professional summary

Shilpi Mcgrath, who also goes by Shilpi Sinha, is a registered financial professional currently at FORGE SECURITIES LLC located in New York, New York.

Shilpi is registered as a RR (Registered Representative) and started their career in finance in 2006. Shilpi has worked at 10 firms and has passed the Series 65, Series 63, Series 99TO, Series 52TO, Series 3, SIE, Series 7, Series 24, Series 53 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shilpi Sinha

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 Shilpi Mcgrath's CRS (Customer Relationship Summary).
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

November 30, 2022 - Present

FORGE SECURITIES LLC

Office #1: 114 Crosby Street Floor 5, New York, NY 10012
BD
CRD#: 134596
New York, NY
Past

November 2, 2021 - October 4, 2022

FUTU CLEARING INC

BD
CRD#: 298769
Dallas, TX
Past

November 2, 2021 - November 15, 2022

MOOMOO FINANCIAL INC.

BD
CRD#: 283078
JERSEY CITY, NJ
Past

June 11, 2020 - November 5, 2021

ELECTRONIC TRANSACTION CLEARING, INC.

BD
CRD#: 146122
DALLAS, TX
Past

September 5, 2018 - November 5, 2021

APEX CLEARING CORPORATION

BD
CRD#: 13071
DALLAS, TX
Past

October 2, 2013 - August 27, 2018

1ST GLOBAL ADVISORS INC

RIA
CRD#: 111133
DALLAS, TX
Past

October 2, 2013 - August 27, 2018

1ST GLOBAL CAPITAL CORP.

BD
CRD#: 30349
DALLAS, TX
Past

January 16, 2013 - October 1, 2013

MOMENTUM INDEPENDENT NETWORK INC.

BD
CRD#: 17587
DALLAS, TX
Past

April 30, 2012 - October 1, 2013

HILLTOP SECURITIES INC.

RIA
CRD#: 6220
DALLAS, TX
Past

April 30, 2012 - October 1, 2013

HILLTOP SECURITIES INC.

BD
CRD#: 6220
DALLAS, TX
Past

November 14, 2011 - April 9, 2012

INVESTORS BROKERAGE OF TEXAS, LTD.

RIA
CRD#: 13037
WACO, TX
Past

June 28, 2006 - April 9, 2012

INVESTORS BROKERAGE OF TEXAS, LTD.

BD
CRD#: 13037
WACO, TX

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
California
(11/30/2022)
RR
New York
(11/30/2022)
RR
Texas
(11/30/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/19/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/17/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 3/26/2019
National Commodity Futures Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/27/2006
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/9/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/29/2006
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 7/26/2006
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FS
FORGE SECURITIES LLC
FORGE SECURITIES LLC | SHARESPOST FINANCIAL CORPORATION | PERLINSKI & ASSOCIATES

CRD#: 134596 / SEC#: , 8-66846

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

Main Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Mailing Address
4 Embarcadero Center Suite 1500, San Francisco, CA 94111
Phone number
(800) 279-7754
Established
Delaware since 06/03/2021
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FORGE FINANCIAL HOLDING INCOWNER
FLAVIANI, SANDRA STEPHANIEPFO2831682
GRIMES, WILLIAM CHARLESPRESIDENT & EVP, HEAD OF GLOBAL CAPITAL MARKETS5909538
MCGRATH, SHILPICHIEF COMPLIANCE OFFICER5126346
PRICE, JEVON TPOO2948372

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

FORGE SECURITIES LLC

CRD#: 134596New York, NY 10012

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