Shiv Sethi, financial advisor Pittsburgh PA

Shiv Sethi

CRD Number: 6300789
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Shiv Sethi (CRD# 6300789) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Pittsburgh, PA and has 1 year of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Pittsburgh, PA Apr 2020 - Current < 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Pittsburgh, PA Mar 2020 - Current < 1
Jpmorgan Chase Bank Na Pittsburgh, PA Sep 2019 - Mar 2020 < 1
Jpmorgan Securities LLC Pittsburgh, PA Sep 2019 - Mar 2020 < 1
Jpmorgan Chase Bank Na New York, NY Feb 2018 - Sep 2019 1
Unemployed New York, NY Sep 2017 - Jan 2018 < 1
Jpmorgan Chase Bank Na New York, NY Jan 2017 - Aug 2017 < 1
Unemployed New York, NY Jul 2016 - Jan 2017 < 1
Macquarie Capital (usa) Inc. New York, NY Nov 2014 - Jun 2016 1
Bank Of America New York, NY Aug 2009 - Nov 2014 5
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jun 2020
S63 Uniform Securities State Law Examination Oct 2019
Contact Info for Shiv K. Sethi
Phone Number: 800-637-7455
Registered State(s):
  • PA
  • TX
By the Numbers
  • Total Assets Under Management
    962,052
    MILLIONS
  • Total Number of Accounts
    2,529,169
    ACCOUNTS
  • Average Account Value
    $380,383
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for pooled investment vehicles (other than investment companies)
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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