Shaleen B. 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.
Shaleen Bhupendra Patel, who also goes by Shaleen B Patel, was a registered financial professional .
Shaleen is a previously registered financial professional and started their career in finance in 1998. Shaleen had worked at 6 firms and has passed the Series 66, Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 3, 2013 - September 4, 2013
ROBOTTI & COMPANY ADVISORS, LLC
August 26, 2011 - September 4, 2013
ROBOTTI SECURITIES, LLC
May 2, 2008 - September 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
May 2, 2008 - September 30, 2008
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2004 - May 15, 2008
J.P. MORGAN SECURITIES LLC
May 1, 2002 - May 15, 2008
J.P. MORGAN SECURITIES LLC
March 14, 2001 - April 10, 2002
TRAUTMAN WASSERMAN & COMPANY, INC.
April 22, 1998 - April 5, 2001
SANDS BROTHERS & CO., LTD.
Primary Firm SEC Registration
ROBOTTI & COMPANY ADVISORS, LLC
CRD#: 128093 / SEC#: 801-60314
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
Current Firm
ROBOTTI & COMPANY ADVISORS, LLC
CRD#: 128093 / SEC#: 801-60314
Contact information
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 251 |
| AUM (Assets Under Management) | $ 881,805,476 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/28/2025 | ||
| 10/25/2024 | ||
| 10/26/2023 | ||
| 01/23/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
