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Falguni M Patel
FALGUNI M. PATEL
CRD#: 4172800
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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 901 VIA PIEMONTE
ONTARIO, CA 91764
ONTARIO, CA 91764
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Disclosures
24
Years of Experience
View By:
State Registrations
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Alabama 4/14/2014
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Minnesota 1/15/2013
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Alaska 1/2/2025
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Missouri 2/15/2021
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Arizona 6/15/2009
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Montana 1/15/2025
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Arkansas 3/16/2017
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Nebraska 1/2/2025
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California 3/31/2005
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Nevada 6/15/2009
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California 3/31/2005
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New Jersey 4/28/2010
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Colorado 6/15/2009
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New Mexico 6/15/2009
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Connecticut 6/15/2009
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New York 6/15/2009
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District of Columbia 6/18/2024
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North Carolina 4/28/2010
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Florida 4/28/2010
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Ohio 6/19/2013
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Georgia 4/28/2010
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Oklahoma 1/15/2013
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Hawaii 6/15/2009
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Oregon 6/15/2009
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Idaho 6/15/2009
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Pennsylvania 6/15/2009
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Illinois 4/28/2010
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South Carolina 4/28/2010
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Indiana 4/28/2010
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South Dakota 3/1/2022
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Kansas 6/1/2021
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Tennessee 4/28/2010
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Kentucky 5/27/2014
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Texas 6/15/2009
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Maine 5/27/2014
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Texas 6/18/2009
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Maryland 10/1/2021
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Utah 4/28/2010
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Massachusetts 4/28/2010
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Virginia 6/15/2009
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Michigan 5/27/2014
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Washington 6/15/2009
SRO Registrations
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Registered with this firm since 3/31/2005
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Registered with this firm since 3/31/2005
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/27/2004 - 03/08/2005 | LOS ANGELES, CA | |
B | 08/27/2004 - 03/08/2005 | NEW YORK, NY | |
IA | 07/15/2002 - 08/23/2004 | LOS ANGELES, CA | |
B | 04/27/2001 - 08/23/2004 | NEW YORK, NY | |
B | 09/07/2000 - 04/02/2001 | OMAHA, NE |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.