Sangam R. Patel
Professional summary
Sangam Ramesh Patel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Sangam is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Sangam had worked at 4 firms, which includes WALLSTREET*E FINANCIAL SERVICES INC., NEXT FINANCIAL GROUP INC., MCGINN SMITH & CO. INC., MERCER PARTNERS INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 20, 2004 - August 20, 2004
WALLSTREET*E FINANCIAL SERVICES, INC.
August 20, 2004 - December 31, 2004
NEXT FINANCIAL GROUP, INC.
July 25, 2001 - October 6, 2004
MCGINN, SMITH & CO., INC.
September 15, 1999 - May 30, 2001
MERCER PARTNERS INCORPORATED
State Registrations and Notice Filings
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Exams
Current Firm
WALLSTREET*E FINANCIAL SERVICES, INC.
CRD#: 43896 / SEC#: , 8-50464
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
Red Flags
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