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NP

Neel B. Patel

ICAPITAL MARKETS LLC
New York, NY 10165
Some features on this profile are disabled
CRD#: 4053528
NP

Professional summary

Neel B Patel is a registered financial professional currently at ICAPITAL MARKETS LLC located in New York, New York.

Neel is registered as a RR (Registered Representative) and started their career in finance in 2000. Neel has worked at 12 firms and has passed the Series 65, Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Neel B Patel's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

June 24, 2025 - Present

ICAPITAL MARKETS LLC

Office #1: 60 East 42nd Street 26th Floor, New York, NY 10165
BD
CRD#: 118219
New York, NY
Past

May 22, 2024 - November 26, 2024

ASHFORD SECURITIES LLC

BD
CRD#: 305330
DALLAS, TX
Past

November 9, 2022 - November 2, 2023

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

October 30, 2017 - September 30, 2022

GRIFFIN CAPITAL SECURITIES, LLC

BD
CRD#: 37739
IRVINE, CA
Past

January 3, 2017 - October 30, 2017

AMERICAN ENTERPRISE INVESTMENT SERVICES INC.

BD
CRD#: 26506
Minneapolis, MN
Past

June 6, 2013 - December 31, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
Minneapolis, MN
Past

June 6, 2013 - January 18, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Minneapolis, MN
Past

August 18, 2011 - June 18, 2013

MORGAN STANLEY

RIA
CRD#: 149777
CHARLOTTE, NC
Past

August 2, 2011 - June 18, 2013

MORGAN STANLEY

BD
CRD#: 149777
CHARLOTTE, NC
Past

November 10, 2006 - March 22, 2010

GLOBAL ALTERNATIVE INVESTMENT SERVICES, INC.

BD
CRD#: 487
CHARLOTTE, NC
Past

April 24, 2006 - October 27, 2006

BOFA ADVISORS, LLC

RIA
CRD#: 107900
CHARLOTTE, NC
Past

March 22, 2006 - October 27, 2006

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
CHARLOTTE, NC
Past

August 12, 2002 - March 13, 2006

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 14, 2000 - October 23, 2001

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(6/25/2025)
RR
Arkansas
(7/7/2025)
RR
Colorado
(6/25/2025)
RR
Florida
(6/25/2025)
RR
Georgia
(6/25/2025)
RR
Idaho
(6/24/2025)
RR
Kansas
(6/25/2025)
RR
Louisiana
(6/30/2025)
RR
Mississippi
(6/27/2025)
RR
Montana
(7/15/2025)
RR
Nebraska
(6/24/2025)
RR
New Mexico
(6/26/2025)
RR
North Dakota
(7/3/2025)
RR
Oklahoma
(6/25/2025)
RR
South Carolina
(6/30/2025)
RR
South Dakota
(6/25/2025)
RR
Tennessee
(6/25/2025)
RR
Texas
(6/25/2025)
RR
Utah
(6/25/2025)
RR
Wyoming
(6/24/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/17/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 4/21/2006
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/14/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 2/11/2000
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

IM
ICAPITAL MARKETS LLC
AXIO FINANCIAL LLC | SCURA, RISE & PARTNERS SECURITIES, LLC | SCURA PARTNERS SECURITIES LLC | SCURA PALEY SECURITIES LLC | ICAPITAL MARKETS LLC

CRD#: 118219 / SEC#: , 8-53640

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
60 East 42nd Street 26th Floor, New York, NY 10165
Mailing Address
60 East 42nd Street 26th Floor, New York, NY 10165
Phone number
(646) 520-2020
Established
Delaware since 08/13/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ICAPITAL MARKETS HOLDING LLCPARENT
GEORGE, THOMAS KEITHFINOP5378303
HOUSTON, STEPHEN HENRYHEAD OF BROKER DEALER1988668
MORGAN, COURTNEYCHIEF COMPLIANCE OFFICER6384535

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.

Company Information

ICAPITAL MARKETS LLC

CRD#: 118219New York, NY 10165

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