Nisha A. Jhaveri
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.
Nisha Amish Jhaveri, who also goes by Nisha A Jhaveri, Nisha Anil Mehta, was a registered financial professional .
Nisha is a previously registered financial professional and started their career in finance in 2006. Nisha had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 2, 2022 - October 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 31, 2022 - October 3, 2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 24, 2020 - October 18, 2022
CITIGROUP GLOBAL MARKETS INC.
August 24, 2020 - October 18, 2022
CITIGROUP GLOBAL MARKETS INC.
April 24, 2019 - July 30, 2020
FIDELITY PERSONAL AND WORKPLACE ADVISORS
April 8, 2019 - July 29, 2020
FIDELITY BROKERAGE SERVICES LLC
October 22, 2015 - April 30, 2019
CITIGROUP GLOBAL MARKETS INC.
October 21, 2015 - April 30, 2019
CITIGROUP GLOBAL MARKETS INC.
July 25, 2014 - December 31, 2014
CITIGROUP GLOBAL MARKETS INC.
July 24, 2014 - December 31, 2014
CITIGROUP GLOBAL MARKETS INC.
May 9, 2011 - December 12, 2013
CITIGROUP GLOBAL MARKETS INC.
May 9, 2011 - December 12, 2013
CITIGROUP GLOBAL MARKETS INC.
October 15, 2008 - April 4, 2011
WELLS FARGO CLEARING SERVICES, LLC
June 18, 2008 - April 4, 2011
WELLS FARGO CLEARING SERVICES, LLC
May 29, 2007 - June 13, 2008
CITIGROUP GLOBAL MARKETS INC.
May 18, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
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
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
