Shami J. Patel
Professional summary
Shami Jitendra Patel, who also goes by Shami J Patel, is a registered financial professional currently at J. ALDEN ASSOCIATES, INC. located in Wayne, Pennsylvania.
Shami is registered as a RR (Registered Representative) and started their career in finance in 2004. Shami has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Shami Jitendra Patel's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 18, 2024 - Present
J. ALDEN ASSOCIATES, INC.
Office #1: 37 West Ave Suite 301, Wayne, PA 19087December 18, 2018 - August 5, 2024
COHEN & COMPANY SECURITIES, LLC
October 13, 2010 - March 31, 2015
MISSION CAPITAL LLC
August 25, 2004 - December 8, 2008
COHEN & COMPANY SECURITIES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/21/2024)
Exams
FINRA
Current Firm
J. ALDEN ASSOCIATES, INC.
CRD#: 40002 / SEC#: , 8-48938
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CALFO, LEE ALBERT | CEO, PRINCIPAL, RESEARCH PRINCIPAL | 4782334 |
| CASTLE CREEK LAUNCHPAD FUND I, LP | SHAREHOLDER | |
| SMITH, KENNETH RICHARD | PRINCIPAL, CHIEF COMPLIANCE OFFICER, MUNICIPAL SECURITIES PRINCIPAL, AMLCO | 2300203 |
| ENGELBACH, PETER ALDEN | PRESIDENT, PRINCIPAL, OPTIONS PRINCIPAL | 201177 |
| KINZER, CAROL ANN | FINOP | 4519471 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
Red Flags
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