Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Pallav? Claim Your ProfilePallav Shah is a financial advisor with over 14 years of experience in the financial services industry. Pallav is currently registered with RBC Capital Markets, LLC. Prior to that, Pallav worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Banc of America Securities LLC. Pallav Shah holds Series 63, Series 52TO, SIE, and Series 7 licenses. Pallav is also registered in 52 states. Pallav Shah specializes in working with high net worth individuals, corporations or other businesses, pension and profit sharing plans, charitable organizations, insurance companies, pooled investment vehicles, banking or thrift institutions, and state or municipal government entities. Pallav Shah provides financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management services.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NJ
07/06/2015 - Present
RBC Capital Markets, LLC (Florham Park NJ)
NY
05/01/2009 - 06/30/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/24/2008 - 11/01/2010
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BC
Issued 10/21/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2008
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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