Neil K. Shah
Professional summary
Neil Kosygin Shah is a registered financial professional currently at CTC, LLC located in Chicago, Illinois.
Neil is registered as a RR (Registered Representative) and started their career in finance in 2019. Neil has worked at 2 firms and has passed the Series 63, Series 57TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Neil Kosygin Shah's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 30, 2022 - Present
CTC, LLC
Office #1: 425 S. Financial Place 4th Floor, Chicago, IL 60605Office #2: 151 W. 42nd Street 36th Floor, New York, NY 10036August 30, 2019 - July 27, 2022
NATWEST MARKETS SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 57TO
Date: 3/2/2023
Securities Trader ExamSeries 7TO
Date: 8/30/2019
General Securities Representative ExaminationCboe BZX Exchange, Inc.
Cboe C2 Exchange, Inc.
Cboe EDGX Exchange, Inc.
Cboe Exchange, Inc.
FINRA
NYSE American LLC
NYSE Arca, Inc.
Nasdaq BX, Inc.
Nasdaq ISE, LLC
Nasdaq PHLX LLC
Nasdaq Stock Market
Current Firm
CTC, LLC
CRD#: 44597 / SEC#: , 8-50758
Contact information
Documents
Disclosures
| Regulatory Event | 18 |
Red Flags
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