Sonia S. 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.
Sonia Sanjay Shah, who also goes by Sonia S Shah, Sonia Shah, was a registered financial professional .
Sonia is a previously registered financial professional and started their career in finance in 2021. Sonia had worked at 1 firm and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 21, 2021 - January 31, 2022
SIG BROKERAGE, LP
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
Series 99TO
Date: 12/21/2021
Operations Professional ExaminationCurrent Firm
SIG BROKERAGE, LP
CRD#: 100400 / SEC#: , 8-52028
Contact information
FINRA licenses (2 States and Territories)
Documents
Disclosures
| Regulatory Event | 4 |
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.
