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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

NISARG D SHAH

Advisor at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ATLANTA, GA

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:10 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Sep 6, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Aug 31, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Aug 31, 2007
First registration: Sep 6, 2007
Dual registered: yes, broker-dealer
Other names: NISU SHAH|NISARG DILIP SHAH|NISU SHAH|NISARG DILIP SHAH
IAPD individual key: 5270081

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Feb 25, 2014	n/a	yes	ATLANTA, GA	Current employment
E*TRADE CAPITAL MANAGEMENT, LLC	Former SEC adviser	Jul 9, 2010	Mar 11, 2014	no	ARLINGTON, VA	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Jun 21, 2010	no	ATLANTA, GA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Mar 28, 2008	Jun 1, 2009	no	ATLANTA, GA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Sep 6, 2007	Feb 7, 2008	no	ATLANTA, GA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
E*TRADE CAPITAL MANAGEMENT, LLC	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 11, 2014	Feb 25, 2014	-14	Firm change	Other
MORGAN STANLEY	E*TRADE CAPITAL MANAGEMENT, LLC	Jun 21, 2010	Jul 9, 2010	18	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
MORGAN STANLEY & CO. LLC	CITIGROUP GLOBAL MARKETS INC.	Feb 7, 2008	Mar 28, 2008	50	Firm change	Other

Relationships

Registered with (5)

→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: current employment
Feb 25, 2014 to presentfactForm ADV
→ E*TRADE CAPITAL MANAGEMENT, LLCRegistered adviserregistration: previous registration
Jul 9, 2010 to Mar 11, 2014factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Jun 21, 2010factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Mar 28, 2008 to Jun 1, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Sep 6, 2007 to Feb 7, 2008factForm ADV

Dated events

No dated event names this entity yet.