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Detailed Report
PRASHANT K PATEL
PRASHANT KANTILAL PATEL, PRASHANT PATEL
CRD#: 5174648
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 5642 E KINGS CANYON BLVD
FRESNO, CA 93727
Registration History
20172018201920202021202220232024202520262 FIRMS2021 - 2022 (1 year)2 FIRMS2022 - Present (2 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2017 - 2021 (3 years)IAWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2018 - 2021 (2 years)
License(s)

State Registrations

B
California 5/27/2022
IA
California 5/31/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Chicago, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

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
WELLS FARGO ADVISORS (CRD#:19616)
5642 E KINGS CANYON BLVD, FRESNO, CA 93727
1851 E HERNDON AVE, CLOVIS, CA 93611
Registered with this firm since 5/31/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
5642 E KINGS CANYON BLVD, FRESNO, CA 93727
1851 E HERNDON AVE, CLOVIS, CA 93611
Registered with this firm since 5/27/2022
Previous Registration(s)
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 02/02/2021 - 06/04/2022 BANCWEST INVESTMENT SERVICES, INC. (BWIS) (CRD#:29357) CLOVIS, CA
B
 02/01/2021 - 06/04/2022 BANCWEST INVESTMENT SERVICES, INC. (CRD#:29357) CLOVIS, CA
IA
 11/15/2018 - 01/21/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FRESNO, CA
B
 06/26/2017 - 01/21/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) FRESNO, 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.