Shiv Sethi (CRD# 6300789) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Miami, FL and has over 4 years of experience in the finance industry.
CRD# 1612984
Genesis Wealth Management, Inc.
CRD# 4778193
Global Wealth Management Investment Advisory, Inc.
CRD# 4563511
Efg Asset Management (americas) Corp.
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America, N.a. | Pittsburgh, PA | Apr 2020 - Current | 4 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Pittsburgh, PA | Mar 2020 - Current | 4 |
| 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 |
- FL
- PA
- TX
-
Total Assets Under Management1,271,594MILLIONS
-
Total Number of Accounts2,911,578ACCOUNTS
-
Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
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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