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Detailed Report
RAKESH S PATEL
CRD#: 5148613
IA
Investment Adviser
B
Broker
STIFEL INDEPENDENT ADVISORS, LLCCRD#: 28218 975 S. FAIR OAKS AVENUE
PASADENA, CA 91105
Registration History
201220142016201820202022202420262 FIRMS2021 - 2022 (<1 year)2 FIRMS2022 - Present (3 years)BWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2012 - 2021 (9 years)BLPL FINANCIAL LLC (CRD# 6413)2012 - 2012 (<1 year)IAWELLS FARGO ADVISORS FINANCIAL... (CRD# 11025)2013 - 2021 (8 years)
License(s)

State Registrations

B
Arizona 2/15/2024
B
Nevada 2/15/2024
B
California 4/19/2022
B
New Jersey 2/15/2024
IA
California 4/19/2022
B
New Mexico 2/15/2024
B
Colorado 2/15/2024
B
North Carolina 2/15/2024
B
Florida 2/15/2024
B
Ohio 2/15/2024
B
Georgia 2/15/2024
B
Oregon 2/15/2024
B
Illinois 2/15/2024
B
Pennsylvania 2/15/2024
B
Indiana 2/15/2024
B
Tennessee 2/15/2024
B
Kentucky 2/15/2024
B
Texas 2/15/2024
B
Louisiana 2/15/2024
IA
Texas 2/16/2024
B
Maryland 2/21/2024
B
Utah 2/15/2024
B
Missouri 2/15/2024
B
Washington 2/15/2024
B
Montana 2/15/2024

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
STIFEL INDEPENDENT ADVISORS, LLC (CRD#:28218)
975 S. FAIR OAKS AVENUE, PASADENA, CA 91105
Registered with this firm since 4/19/2022
B
STIFEL INDEPENDENT ADVISORS, LLC (CRD#:28218)
975 S. FAIR OAKS AVENUE, PASADENA, CA 91105
Registered with this firm since 4/19/2022
Previous Registration(s)
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IA
 12/07/2021 - 04/20/2022 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PASADENA, CA
B
 12/07/2021 - 04/20/2022 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PASADENA, CA
IA
 01/11/2013 - 10/18/2021 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PASADENA, CA
B
 06/04/2012 - 10/18/2021 WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (CRD#:11025) PASADENA, CA
B
 03/23/2012 - 06/14/2012 LPL FINANCIAL LLC (CRD#:6413) PASADENA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.