Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Neha? Claim Your ProfileNeha Mahipal Shah is a financial professional with over 17 years of experience in the industry. Neha currently works at Houlihan Lokey Capital, Inc. where she has been employed since April 2018. Neha has a strong background in the financial industry having previously worked at BMO Capital Markets Corp., Oppenheimer & Co. Inc., and CIBC World Markets Corp. Neha holds several industry licenses including Series 7, 62, 63, and SIE. Neha has a demonstrated commitment to providing excellent service to her clients.
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.
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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2
NY
04/13/2018 - Present
Houlihan Lokey Capital, Inc. (NEW YORK NY)
NY
10/19/2011 - 04/16/2018
BMO CAPITAL MARKETS CORP. (NEW YORK NY)
NY
01/14/2008 - 10/18/2011
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
10/31/2005 - 01/14/2008
CIBC WORLD MARKETS CORP. (NEW YORK NY)
BC
Issued 11/05/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/18/2018
Series 7 - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/29/2005
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
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