Wahab Shah

CRD 4196397 · J.P. Morgan Securities LLC · Walnut Creek, CA

IA RegisteredBroker

Also appears in the source record as: Wahab Shah

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (7): Series 7TOSeries 6TOSIESeries 6Series 26Series 66Series 63
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 16
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: J.P. Morgan Securities LLC
Firm CRD: 79
SEC number: 801-3702
Assets under management: $429.7B as of Jun 30, 2026
Website: wealthpartners.jpmorgan.com ↗
Phone: 800-999-2000
Firm location: New York, NY, 10017

Employment history (8)

From the source registration record · current first

J.P. Morgan Securities LLCCurrent
Walnut Creek, CA · BC capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Walnut Creek, CA · IA capacity

start not retrieved → present
J.P. Morgan Securities LLCCurrent
Walnut Creek, CA · IA capacity

start not retrieved → present
Citigroup Global Markets Inc.
Pleasant Hill, CA · IA capacity

Apr 27, 2024 → Apr 24, 2026
Citigroup Global Markets Inc.
Pleasant Hill, CA · BC capacity

Mar 7, 2024 → Apr 24, 2026
Wells Fargo Clearing Services, LLC
Walnut Creek, CA · BC capacity

Dec 22, 2022 → Feb 28, 2024
Citicorp Investment Services
Dublin, CA · BC capacity

Mar 21, 2007 → May 29, 2007
U.S. Bancorp Investments, Inc.
Saint Paul, MN · BC capacity

Sep 25, 2000 → Oct 18, 2005

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 4196397 ↗ FINRA BrokerCheck record for CRD 4196397 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: IAPD_SEARCH. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.