Shiv Kumar Sethi

Current Employers

Employment History

• 09/2019 → 03/2020
  Jpmorgan Chase Bank Na
  Pittsburgh, PA
• 09/2019 → 03/2020
  Jpmorgan Securities Llc
  Pittsburgh, PA
• 02/2018 → 09/2019
  Jpmorgan Chase Bank Na
  New York, NY
• 01/2017 → 08/2017
  Jpmorgan Chase Bank Na
  New York, NY
• 09/2017 → 01/2018
  Unemployed
  New York, NY
• 07/2016 → 01/2017
  Unemployed
  New York, NY
• 03/2020 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Pittsburgh, PA
• 04/2020 → Present
  Bank Of America, N.A.
  Pittsburgh, PA

Other Businesses

I*399750For profit or not for profit: Entity CharitableName of outside business organization: August Wilson African American Cultural CenterInvestment related: NAddress of business: Pittsburgh, Pennsylvania, 15222Nature of business: Charitable OrganizationPosition, title, association: Board MemberStart date of relationship: 4/14/2021Number of hours devoted: 5 hours MonthlyNumber of hours devoted during trading hours: 0Duties: Serve on Board of Directors- Asked to serve as Vice Chair of Board I*4628276 Entity Type: Entity For Profit Name of OBA: Elevate Ventures Group, LLC Address: Atlanta, Georgia, 30318 Investment Related: No Position, Title, Association: Other Employee Start Date: 06/15/2026 Number of Hours: 12, Yearly Number of Hours during trading: 0, Yearly Duties: The interest is structured through a an existing manager-managed LLC, where I would hold a non-voting economic ownership interest only. I would have no involvement in day-to-day operations, staffing, inventory management, cash handling, vendor relationships, licensing, banking, or management decisions. All operational responsibility, management authority, licensing, and regulatory oversight are delegated to the operating manager pursuant to formal operating agreements. The business is unrelated to securities or financial services activities, no client capital or outside investors are involved, and the investment would not interfere with my responsibilities at Merrill. My role would be limited to passive ownership oversight and periodic review of financial reporting associated with my investment interest. My role would be limited to passive ownership oversight and periodic review of financial reporting associated with my investment interest.

Exams

• S65 Uniform Investment Adviser Law Examination
  2020-06-27
• S63 Uniform Securities Agent State Law Examination
  2019-10-28

Other Names

• Shiv K Sethi