Sanjay Shah

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 04/2012 → Present
  Bank Of America, N.A.
  Durham, NC
• 10/2014 → Present
  Cambridge Investment Research Inc
  Fairfield, IA
• 10/2014 → Present
  Cambridge Investment Research Advisors Inc
  Fairfield, IA

Previous Registrations

• 2012-03-07 → 2014-09-15
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Chapel Hill, NC

Other Businesses

1) INDEPENDENT INSURANCE AGENT, 200 PLYERSMILL RD CARY NC, 10/2014 FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL, 8/MO 6/TRADING 2) CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, 10/2014, AS ADVISORY REP OF A RIA. INV REL, 40/WK 30/TRADING 3) BAKER FINANCIAL GROUP, 200 Plyersmill Road, Cary NC 27519, United States, 10/2014, DBA (Financial Advisor), DBA Name, NIR, 20 HR/MO, 20 HR/MO TRADING

Exams

• S63 Uniform Securities Agent State Law Examination
  2012-03-06
• S65 Uniform Investment Adviser Law Examination
  2011-05-26

Designations

• Certified Financial Planner

Other Names

• Sanjay K Shah