Mit 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.
Mit Shah was a registered financial professional .
Mit is a previously registered financial professional and started their career in finance in 2020. Mit had worked at 4 firms and has passed the Series 63, Series 79TO, Series 52TO 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
May 1, 2023 - October 16, 2023
BERKERY NOYES SECURITIES, LLC
January 5, 2022 - February 10, 2023
MIZUHO SECURITIES USA LLC
February 17, 2021 - June 9, 2022
JEGI LLC
June 27, 2020 - January 21, 2021
JEFFERIES LLC
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 79TO
Date: 7/24/2020
Investment Banking Registered Representative ExaminationSeries 52TO
Date: 6/27/2020
Municipal Securities Representative ExaminationCurrent Firm
BERKERY NOYES SECURITIES, LLC
CRD#: 155918 / SEC#: , 8-68750
Contact information
FINRA licenses (23 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.
