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Detailed Report
BHADRESH SHAH
BJ SHAH
CRD#: 1636264
IA
Investment Adviser
B
Broker
UBS FINANCIAL SERVICES INC.CRD#: 8174 251 South Lake Avenue
10th Floor
PASADENA, CA 91101
Registration History
199019952000200520102015202020252 FIRMS2012 - Present (12 years)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1988 - 2012 (24 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1987 - 1988 (1 year)IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1997 - 2012 (15 years)
Disclosure(s)
View By:
3/20/2018
Customer Dispute
Denied
10/4/2010
Customer Dispute
Denied
License(s)

State Registrations

B
Alabama 4/24/2023
B
Missouri 4/24/2023
B
Arizona 9/28/2012
B
Nevada 4/7/2016
B
California 9/28/2012
B
New Hampshire 4/24/2023
IA
California 10/1/2012
B
New Jersey 9/28/2012
B
Colorado 4/24/2023
B
New Mexico 4/24/2023
B
Connecticut 6/9/2021
B
New York 9/28/2012
B
Delaware 4/24/2023
IA
New York 6/9/2023
IA
District of Columbia 2/13/2025
B
North Carolina 4/24/2023
B
Florida 3/3/2015
B
Ohio 1/3/2022
IA
Florida 12/6/2024
B
Oregon 4/14/2023
B
Georgia 4/24/2023
B
Pennsylvania 9/28/2012
B
Hawaii 4/24/2023
B
Rhode Island 4/24/2023
B
Idaho 4/24/2023
B
South Carolina 4/24/2023
B
Illinois 4/24/2023
B
South Dakota 4/24/2023
B
Indiana 4/24/2023
B
Tennessee 4/24/2023
B
Kansas 4/24/2023
IA
Texas 9/28/2012
B
Kentucky 4/24/2023
B
Texas 10/17/2012
B
Louisiana 4/24/2023
B
Utah 4/7/2016
B
Maine 4/24/2023
B
Virgin Islands 4/11/2016
B
Maryland 2/28/2019
B
Virginia 1/14/2021
B
Massachusetts 4/7/2016
B
Washington 9/28/2012
B
Michigan 4/24/2023
IA
Washington 12/5/2024
B
Minnesota 4/24/2023
B
Wyoming 12/10/2020

SRO Registrations

B
 BOX Exchange LLC
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Arcadia, CA
Registered with this firm since 9/28/2012
B
UBS FINANCIAL SERVICES INC. (CRD#:8174)
251 South Lake Avenue 10th Floor, PASADENA, CA 91101
Arcadia, CA
Registered with this firm since 9/28/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/08/1997 - 10/01/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 03/15/1988 - 10/01/2012 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) PASADENA, CA
B
 03/27/1987 - 04/07/1988 PRUCO SECURITIES CORPORATION (CRD#:5685)
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.