Individual Firm
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Sagar Sheth
CRD#: 7000608
IA
B
LIDOCRD#: 269866 20 N Clark Street
Suite 1250
Chicago, IL 60602
Suite 1250
Chicago, IL 60602
0
Disclosures
6
Years of Experience
View By:
State Registrations
IA
California 2/8/2024
IA
Illinois 2/7/2024
IA
Registered with this firm since 2/7/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/17/2021 - 01/09/2024 | Schaumburg, IL | |
B | 08/17/2021 - 01/09/2024 | Schaumburg, IL | |
B | 09/30/2022 - 12/20/2023 | Schaumburg, IL | |
IA | 09/30/2022 - 09/07/2023 | Schaumburg, IL | |
IA | 09/30/2022 - 10/14/2022 | Schaumburg, IL | |
IA | 01/30/2020 - 06/18/2021 | OAK BROOK, IL | |
B | 07/11/2019 - 06/15/2021 | OAK BROOK, IL | |
IA | 11/24/2018 - 07/08/2019 | DEERFIELD, IL | |
B | 10/26/2018 - 07/08/2019 | DEERFIELD, 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.