Preeti Shah

ENLIGHT FINANCIAL LLC

Hamilton, NJ

Some features on this profile are disabled

CRD#: 5815655

Professional summary

Preeti Shah, CFP®, who also goes by Priti Gupta, is a registered financial advisor currently at ENLIGHT FINANCIAL LLC located in Hamilton, New Jersey.

Preeti is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Preeti has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Priti Gupta

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.

1.SPIRITUALITY BOOK, 18 Pemberton Drive, Matawan, NJ 07747, Author and Publisher, 1hr/wk, Profits. 2.COPPERPAGES.COM, 18 Pemberton Drive, Matawan, NJ 07747, Start 01/01/04, Yellow Pages (online only) for the Indian community, 1hr/wk. 3.MEETUP.COM, various locations, Start 07/14/2011, Entrepreneurial Mentorship group founded on Meetup.com. Schedule Meetups, Prepare Topics, Run the Meeting, 1 hr/month. 4.ENLIGHT FINANCIAL LLC, Various Locations. May occasionally accept part-time jobs during tax busy season to prepare tax returns for other firms, 25 hr/wk Jan-April, Profits.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preeti Shah'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

January 19, 2018 - Present

ENLIGHT FINANCIAL LLC

RIA

CRD#: 285879

Hamilton, NJ

Past

December 2, 2016 - December 31, 2017

ENLIGHT FINANCIAL LLC

RIA

CRD#: 285879

Matawan, NJ

Past

February 12, 2014 - December 9, 2016

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

MATAWAN, NJ

Past

February 12, 2014 - December 9, 2016

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

MATAWAN, NJ

Past

September 19, 2012 - February 11, 2014

CETERA ADVISORS LLC

RIA

CRD#: 10299

RED BANK, NJ

Past

September 19, 2012 - February 11, 2014

CETERA ADVISORS LLC

CRD#: 10299

RED BANK, NJ

Past

August 3, 2010 - December 1, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

FLEMINGTON, NJ

Past

July 29, 2010 - December 1, 2010

LPL FINANCIAL LLC

CRD#: 6413

FLEMINGTON, NJ

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New Jersey
(1/19/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/2/2010

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 12/9/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/2010

General Securities Representative Examination

Current Firm

ENLIGHT FINANCIAL LLC

CRD#: 285879 / SEC#:

New Jersey

Registered Investment Advisory firm - (1/19/2018 Approved)

Texas

Registered Investment Advisory firm - (2/28/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

Manalapan, NJ

Mailing Address

Phone number

(201) 892-6094

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	70
AUM (Assets Under Management)	$ 22,443,920

Exempt reporting advisers

Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.

SEC / JURISDICTION	REPORTING STATUS	EFFECTIVE DATE
Texas	ERA - Withdrawn	10/9/2019

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Preeti Shah

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Preeti Shah's CRS (Customer Relationship Summary).

Certified licenses

Experience

ENLIGHT FINANCIAL LLC

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

CETERA ADVISORS LLC

CETERA ADVISORS LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/2/2010

SIE

Date: 12/9/2016

Series 7

Date: 7/28/2010

Current Firm

ENLIGHT FINANCIAL LLC

Contact information

Documents

Regulatory assets under management

Exempt reporting advisers

Red Flags

Company Information

ENLIGHT FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors