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Sweeti Subodhchandra Shah

Merrill Lynch, Pierce, Fenner & Smith Incorporated

San Rafael, CA

Novato, CA

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2016-10-11
CA RA APPROVED 2016-03-29
  • TX RA
    APPROVED
    Since 2016-10-11
  • CA RA
    APPROVED
    Since 2016-03-29

Branch Locations

30 Smith Ranch Rd, San Rafael, CA 94903 • United States

1600 Grant Ave, Novato, CA 94945 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Mill Valley CA 03/2016 Present
Bank Of America, N.A. Mill Valley CA 04/2016 Present
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-01-05
S63 Uniform Securities Agent State Law Examination 2015-12-14
  • S65 Uniform Investment Adviser Law Examination
    2016-01-05
  • S63 Uniform Securities Agent State Law Examination
    2015-12-14
Other Names
  • Sweeti Shah

View on SEC IAPD

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