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KALPESH PRADIP SHAH
KALPESH P SHAH
CRD#: 2715571
IA
B
PNC INVESTMENTSCRD#: 129052 1900 E. 9TH STREET (OSJ)
CLEVELAND, OH 44114
CLEVELAND, OH 44114
0
Disclosures
22
Years of Experience
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State Registrations
B
Indiana 4/14/2015
IA
Ohio 1/20/2015
IA
Indiana 4/21/2016
B
Pennsylvania 9/25/2017
B
Ohio 1/20/2015
IA
Pennsylvania 9/26/2017
SRO Registrations
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/20/2015
B
Registered with this firm since 1/20/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 12/19/2005 - 01/27/2015 | Westlake, OH | |
B | 04/14/2014 - 01/27/2015 | WESTLAKE, OH | |
B | 11/01/2004 - 01/27/2015 | Westlake, OH | |
B | 11/01/2004 - 07/09/2007 | BROADVIEW HEIGHTS, OH | |
B | 04/23/2002 - 11/10/2004 | CINCINNATI, OH |
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.