SS
Samir Shah
LEDGER CAPITAL MARKETS
New York, NY 10104
Some features on this profile are disabled
CRD#: 6824841
SS
Professional summary
Samir Shah is a registered financial professional currently at LEDGER CAPITAL MARKETS, LLC located in New York, New York.
Samir is registered as a RR (Registered Representative) and started their career in finance in 2018. Samir has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 79, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Samir 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®
NoneExperience
Current
October 2, 2025 - Present
LEDGER CAPITAL MARKETS, LLC
Office #1: 75 Rockefeller Plaza Suite 24c, New York, NY 10104BD
CRD#: 289140
New York, NY
Past
November 12, 2024 - April 3, 2025
LEDGER CAPITAL MARKETS, LLC
BD
CRD#: 289140
NEW YORK, NY
Past
January 4, 2018 - February 23, 2023
LEDGER CAPITAL MARKETS, LLC
BD
CRD#: 289140
New York, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(10/2/2025)
RR
Alaska(10/2/2025)
RR
Arizona(10/2/2025)
RR
Arkansas(10/2/2025)
RR
California(10/2/2025)
RR
Colorado(10/2/2025)
RR
Connecticut(10/2/2025)
RR
Delaware(10/2/2025)
RR
District of Columbia(10/2/2025)
RR
Florida(10/2/2025)
RR
Georgia(10/2/2025)
RR
Hawaii(10/2/2025)
RR
Idaho(10/2/2025)
RR
Illinois(10/2/2025)
RR
Indiana(10/2/2025)
RR
Iowa(10/2/2025)
RR
Kansas(10/2/2025)
RR
Kentucky(10/2/2025)
RR
Louisiana(10/2/2025)
RR
Maine(10/2/2025)
RR
Maryland(10/2/2025)
RR
Massachusetts(10/2/2025)
RR
Michigan(10/2/2025)
RR
Minnesota(10/2/2025)
RR
Mississippi(10/2/2025)
RR
Missouri(10/2/2025)
RR
Montana(10/2/2025)
RR
Nebraska(10/2/2025)
RR
Nevada(10/2/2025)
RR
New Hampshire(10/2/2025)
RR
New Jersey(10/2/2025)
RR
New Mexico(10/2/2025)
RR
New York(10/2/2025)
RR
North Carolina(10/2/2025)
RR
North Dakota(10/2/2025)
RR
Ohio(10/2/2025)
RR
Oklahoma(10/2/2025)
RR
Oregon(10/2/2025)
RR
Pennsylvania(10/2/2025)
RR
Puerto Rico(10/2/2025)
RR
Rhode Island(10/2/2025)
RR
South Carolina(10/2/2025)
RR
South Dakota(10/2/2025)
RR
Texas(10/2/2025)
RR
Utah(10/2/2025)
RR
Vermont(10/2/2025)
RR
Virgin Islands(10/2/2025)
RR
Virginia(10/2/2025)
RR
Washington(10/2/2025)
RR
West Virginia(10/2/2025)
RR
Wisconsin(10/2/2025)
RR
Wyoming(10/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
LC
LEDGER CAPITAL MARKETS, LLC
LEDGER CAPITAL MARKETS, LLC
CRD#: 289140 / SEC#: , 8-69983
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
75 Rockefeller Plaza Suite 24c, New York, NY 10104
Mailing Address
228 Park Avenue S Pmb 58179, New York, NY 10003-1502
Phone number
(202) 365-3175
Established
Delaware since 06/09/2017
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (52 States and Territories)
Documents
Red Flags
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