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VISHAL VIBHAKER PATEL
CRD#: 4619657
IA
B
EQUITABLE ADVISORS, LLCCRD#: 6627 2050 MAIN STREET
SUITE 530
IRVINE, CA 92614
SUITE 530
IRVINE, CA 92614
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12/16/2015
Regulatory
Final
9/1/2015
Regulatory
Final
2/29/2012
Regulatory
Final
State Registrations
B
California 4/14/2003
B
Indiana 2/12/2008
IA
California 4/15/2003
B
Louisiana 10/15/2014
B
Georgia 10/22/2019
IA
Louisiana 10/20/2014
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
Registered with this firm since 4/15/2003
B
Registered with this firm since 4/14/2003
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/06/2003 - 04/03/2003 | IRVINE, CA | |
B | 02/21/2003 - 04/03/2003 | MINNEAPOLIS, MN | |
B | 02/21/2003 - 04/03/2003 | MINNEAPOLIS, MN |
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B
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.
IA
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.