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Sonali Nehal Shah

Cetera Advisors LLC

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About Sonali Nehal Shah

Sonali Nehal Shah is a financial professional with over 8 years of experience in the industry. Sonali holds the Series 99 and SIE licenses. Sonali is currently registered with Cetera Advisors LLC, Cetera Financial Specialists LLC, Cetera Advisor Networks LLC, Cetera Investment Services LLC and Avantax Investment Services, Inc. Sonali was previously registered with 1st Global Capital Corp.

Firm Information

Sonali Shah is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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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Sonali Shah’s Registration & Firm History

TX

08/20/2024 - Present

Cetera Advisors LLC (DALLAS TX)

TX

02/18/2016 - 10/25/2019

1ST GLOBAL CAPITAL CORP. (DALLAS TX)

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Licenses & Designations

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/18/2016

Series 99 - Operations Professional Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Sonali Nehal Shah.
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