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Jasmine P Shah

B. Riley Wealth Management

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About Jasmine P Shah

Jasmine Shah is a Registered Representative with B. Riley Wealth Management, a firm with a focus on providing wealth management services. Jasmine has been in the financial services industry since January 8, 1995. Jasmine is licensed in New Jersey and New York and holds the Series 7, 63, 79, 99 and SIE licenses. Previously, Jasmine was employed by National Securities Corporation, Legend Merchant Group, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Broadmark Capital Corp., and Gilford Securities Incorporated.

Firm Information

Jasmine Shah is currently registered with B. Riley Wealth Management. B. Riley Wealth Management is a Corporation formed on January 10, 1992. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

130

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Jasmine Shah’s Registration & Firm History

NJ

07/22/2022 - Present

B. Riley Wealth Management (RED BANK NJ)

NJ

05/08/2012 - 07/22/2022

NATIONAL SECURITIES CORPORATION (RED BANK NJ)

NY

04/15/2004 - 05/11/2012

LEGEND MERCHANT GROUP, INC. (NEW YORK NY)

NY

05/13/2002 - 08/05/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

04/06/1999 - 11/01/2001

BROADMARK CAPITAL CORP. (NEW YORK NY)

NY

01/29/1992 - 07/13/1998

GILFORD SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 07/13/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/27/1992

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Jasmine P Shah. Review regulatory record here.
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