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ADAM ZAIN JUSTUS SHAH
Adam Shah
CRD#: 5577209
IA
B
PRINCIPAL SECURITIES, INC.CRD#: 1137 5811 Five Oaks Parkway
Saint Louis, MO 63128
Saint Louis, MO 63128
0
Disclosures
10
Years of Experience
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State Registrations
IA
Iowa 5/23/2023
SRO Registrations
B
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IA
Registered with this firm since 5/23/2023
B
Registered with this firm since 5/8/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/13/2014 - 05/03/2018 | ST. LOUIS, MO | |
IA | 09/26/2011 - 05/03/2018 | ST. LOUIS, MO | |
B | 08/13/2014 - 05/03/2018 | ST. LOUIS, MO | |
B | 10/05/2011 - 05/03/2018 | ST. LOUIS, MO | |
B | 12/10/2008 - 10/05/2010 | OAKBROOK TERRACE, IL |
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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.