NS
Naimesh Shah
CETERA INVESTMENT ADVISERS LLC
SCHAUMBURG, IL 60173-2096
Some features on this profile are disabled
CRD#: 7269317
NS
Professional summary
Naimesh Shah, who also goes by Naimesh V Shah, is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Schaumburg, Illinois and CETERA WEALTH SERVICES, LLC located in Schaumburg, Illinois.
Naimesh is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Naimesh has worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Naimesh V Shah
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) Spectrum Consulting Inc 951 W Golf Road~Schaumburg~IL~60194~Other~Other~9/30/2008~70hrs~70hrs~Involve in estimating the effort of new iStore configuration project, configure the module, guide developers and support the live clients. 2) THE IT RESOURCES INC POSITION: Other NATURE: ~; Business provides the Information technology related consulting services in the area of Oracle ERP software module called iStore. Business takes small project or support services to clients to configure, customize and support iStore module. INVESTMENT RELATED: Yes NUMBER OF HOURS: 70 SECURITIES TRADING HOURS: 70 START DATE: 09/30/2008 ADDRESS: 939 N Plum Grove Road, Suite F, SCHAUMBURG IL 60173, DESCRIPTION: ~; Involve in estimating the effort of new iStore configuration project, configure the module, guide developers and support the live clients. 3) SK TAX ASSOCIATES POSITION: Employee NATURE: ~; Prepare and file Business and personal tax returns for clients, payroll, accounting, sales tax return filing , IRS audit query responses etc. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 01/01/2015 ADDRESS: 939 N Plum Grove Road, Suite F, SCHAUMBURG IL 60173, DESCRIPTION: ~; - Interview and background check all employees, Resolve loan related issues for clients, Managing the business, Upgrade, support and maintain Company's IT related infrastructure. 4) PROTENTIAL INVESTMENTS, INC POSITION: Owner NATURE: This business will be reporting business of my income to IRS from my advisory services with Avantax. INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 20 START DATE: 11/02/2021; 939 N Plum Grove Road, Unit F, SCHAUMBURG IL 60173, Compile all income, expense for advisory business with Avantax and list/report them to PROTENTIAL INVESTMENTS, INC for tax purpose to IRS. 5) SPECTRUM REAL ESTATE LLC POSITION: Other NATURE: ~; Business buys and rents out the rental property in the near by residential area. Business buys the property, fixes, upgrades and place them on rent and collects rent from tenant and looks after some maintenance issue. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 2 START DATE: 07/10/2012; 36 E Nerge Road, Roselle IL 60172, Work with realtor to find investment property, buy the property, hire the contractor and fixes/upgrade the property, list them for rent, find and lease with tenant, collect the rents and look after some maintenance issue. 6) MONEY IN A NUTSHELL , INC POSITION: Owner NATURE: This is just adding the DBA to my already approved OBA - Protential Investments, Inc. Using this name, I will be doing all of the same financial advisor activity which I am already doing. INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 75 START DATE: 01/20/2023 ADDRESS: 939 N Plum Grove Road, Unit F, SCHAUMBURG IL 60173, United States DESCRIPTION: Offering investment options, setting up retirement plans, offering Life insurance and annuities, Opening advisory accounts etc. 7) SPECTRUM HEALTH CARE LLC POSITION: Owner NATURE: to invest into Home Health Care Company as a partner/investor INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/25/2024 ADDRESS: 36 E Nerge Road, Roselle IL 60172, United States DESCRIPTION: Provide funding, mentoring.
CRS (Client Relationship Summary) - RIA
Click below to view Naimesh 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
September 5, 2025 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096Office #2: 939 N Plum Grove Road Suite F, Schaumburg, IL 60173RIA
CRD#: 105644
SCHAUMBURG, IL
Current
September 5, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 939 N Plum Grove Road Suite F, Schaumburg, IL 60173BD
CRD#: 13572
Schaumburg, IL
Past
April 5, 2021 - September 5, 2025
AVANTAX ADVISORY SERVICES
RIA
CRD#: 104556
Schaumburg, IL
Past
November 12, 2020 - September 5, 2025
AVANTAX INVESTMENT SERVICES, INC.
BD
CRD#: 13686
Schaumburg, IL
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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.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
Georgia(9/5/2025)
RR
Illinois(9/5/2025)
IAR
Illinois(9/5/2025)
RR
Indiana(9/5/2025)
RR
Iowa(9/5/2025)
RR
New Jersey(9/5/2025)
RR
North Carolina(9/5/2025)
RR
Texas(9/5/2025)
IAR
Texas(9/5/2025)
RR
Virginia(9/5/2025)
RR
Wisconsin(9/5/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/11/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)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
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
