Kalpesh Patel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kalpesh Patel, who also goes by Kal Patel, Kalpesh R Patel, Kalpesh Ramesh Patel, was a registered financial professional .
Kalpesh is a previously registered financial professional and started their career in finance in 1994. Kalpesh had worked at 5 firms and has passed the Series 63, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 15, 2013 - June 20, 2014
WTS PROPRIETARY TRADING GROUP LLC
May 29, 2012 - December 10, 2012
WTS PROPRIETARY TRADING GROUP LLC
November 23, 2009 - June 22, 2010
GARDEN STATE SECURITIES, INC.
November 29, 2006 - November 30, 2007
TAFFERER TRADING, LLC
November 28, 2003 - November 28, 2006
GARDEN STATE SECURITIES, INC.
June 23, 1994 - November 26, 2003
ROBERT M. COHEN & CO., INC.
June 6, 1994 - June 13, 1994
LADENBURG CAPITAL MANAGEMENT INC.
February 25, 1994 - June 10, 1994
ROBERT M. COHEN & CO., INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 55
Date: 6/12/2000
Limited Representative-Equity Trader ExamCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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