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Mihir S Shah

Scotia Capital (usa) Inc.

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About Mihir S Shah

Mihir Shah is a financial advisor with Scotia Capital (usa) Inc., with over 20 years of experience in the industry. Mihir is a registered representative with the Financial Industry Regulatory Authority (FINRA) and holds several licenses, including Series 7, Series 24, Series 55, Series 57TO, Series 99TO, and SIE. Mihir is also registered to sell securities in all 50 states and Puerto Rico. Mihir previously worked for Deutsche Bank Securities Inc. and Citadel Trading Group L.L.C.

Firm Information

Mihir Shah is currently registered with Scotia Capital (usa) Inc.. Scotia Capital (usa) Inc. is a corporation formed in 1939 and headquartered in the United States. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

108

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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Mihir Shah’s Registration & Firm History

NY

07/23/2013 - Present

Scotia Capital (usa) Inc. (NEW YORK NY)

NY

10/25/2005 - 07/23/2013

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

IL

04/09/2001 - 11/10/2004

CITADEL TRADING GROUP L.L.C. (CHICAGO IL)

IL

01/09/2004 - 04/08/2004

ARAGON INVESTMENTS, LTD. (CHICAGO IL)

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Licenses & Designations

BC

Issued 11/17/2005

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 04/19/2018

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/08/2002

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/06/2001

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Mihir S Shah.
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