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Detailed Report
TILAK J SHAH
Tilak J Shah, Tilak Shah
CRD#: 6416854
IA
Previous Investment Adviser
B
Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
202020212022202320242025IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - 2023 (<1 year)
Disclosure(s)
View By:
1/9/2024
Regulatory
Final
2/4/2022
Employment Separation After Allegations
3/4/2021
Judgment / Lien
3/4/2021
Judgment / Lien
1/7/2021
Judgment / Lien
12/24/2020
Judgment / Lien
6/26/2020
Judgment / Lien
Previous Registration(s)
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IA
 03/04/2023 - 04/21/2023 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) WESTBURY, NY
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.