SD
Shan Desai
FOCUS SECURITIES LLC
Gainesville, VA 20155
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CRD#: 7825012
SD
Professional summary
Shan Desai is a registered financial professional currently at FOCUS SECURITIES LLC located in Gainesville, Virginia.
Shan is registered as a RR (Registered Representative) and started their career in finance in 2024. Shan has worked at 1 firm and has passed the Series 82TO and SIE 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 Shan Desai'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
February 29, 2024 - Present
FOCUS SECURITIES LLC
Office #1: 7371 Atlas Walk Way #259, Gainesville, VA 20155BD
CRD#: 150589
Gainesville, VA
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
District of Columbia(2/29/2024)
Exams
General Industry/Product Exam
RR
Series 82TO
Date: 2/29/2024
Limited Representative-Private Securities OfferingsGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FS
FOCUS SECURITIES LLC
FOCUS SECURITIES LLC
CRD#: 150589 / SEC#: , 8-68273
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
7371 Atlas Walk Way #259, Gainesville, VA 20155
Mailing Address
7371 Atlas Walk Way #259, Gainesville, VA 20155
Phone number
(404) 557-1045
Established
Georgia since 03/23/2009
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (46 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FOCUS HOLDINGS USA, INC. | OWNER | |
| BEARD, ROBERT GLENN | PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER | 5771682 |
| THOMPSON, RICHARD FRANK JR. | FINOP, ER |
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.
