Ishank P. Shah
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.
Ishank P Shah, who also goes by Ishank P Shah, was a registered financial professional .
Ishank is a previously registered financial professional and started their career in finance in 2010. Ishank had worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 79 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 22, 2016 - August 13, 2019
FIRST CITIZENS CAPITAL SECURITIES, LLC
July 2, 2014 - September 1, 2015
GE CAPITAL MARKETS, INC.
March 12, 2014 - May 6, 2014
KROLL SECURITIES LLC
June 29, 2012 - January 10, 2014
HOULIHAN LOKEY CAPITAL, INC.
November 6, 2010 - April 13, 2012
OPPENHEIMER & CO. 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
Current Firm
FIRST CITIZENS CAPITAL SECURITIES, LLC
CRD#: 41504 / SEC#: , 8-49466
Contact information
FINRA licenses (49 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.
