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SP

Sachin U. Patel

ANDES CAPITAL GROUP
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 4166856
SP

Professional summary

Sachin Upendra Patel, who also goes by Sachin U Patel, is a registered financial professional currently at ANDES CAPITAL GROUP, LLC located in Chicago, Illinois.

Sachin is registered as a RR (Registered Representative) and started their career in finance in 2002. Sachin has worked at 11 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 82 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sachin U Patel

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 Sachin Upendra Patel's CRS (Customer Relationship Summary).
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

October 28, 2025 - Present

ANDES CAPITAL GROUP, LLC

Office #1: 205 West Wacker Drive Suite 610, Chicago, IL 60606
BD
CRD#: 139212
Chicago, IL
Past

September 20, 2023 - December 11, 2024

RAINMAKER SECURITIES, LLC

BD
CRD#: 132995
CORAL GABLES, FL
Past

March 14, 2022 - March 16, 2023

RED SWAN PRIVATE CLIENT

RIA
CRD#: 307278
HOUSTON, TX
Past

June 1, 2021 - December 1, 2021

MORGAN STANLEY

RIA
CRD#: 149777
Alpharetta, GA
Past

November 13, 2020 - December 1, 2021

MORGAN STANLEY

BD
CRD#: 149777
Alpharetta, GA
Past

December 5, 2019 - March 23, 2020

SEQUENCE FINANCIAL SPECIALISTS LLC

BD
CRD#: 132915
FLORENCE, SC
Past

November 4, 2015 - March 4, 2019

VCS VENTURE SECURITIES

BD
CRD#: 127921
NEW YORK, NY
Past

July 13, 2015 - October 30, 2015

HB SECURITIES, LLC

BD
CRD#: 140356
NEWPORT BEACH, CA
Past

March 30, 2015 - July 15, 2015

NMS CAPITAL SECURITIES, LLC

BD
CRD#: 107401
BEVERLY HILLS, CA
Past

January 13, 2005 - April 6, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
ALPHARETTA, GA
Past

January 13, 2005 - April 6, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
ALPHARETTA, GA
Past

March 3, 2003 - December 8, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
ATLANTA, GA
Past

September 11, 2002 - December 8, 2004

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

September 11, 2002 - December 8, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/29/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 4/27/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/2/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 82
Date: 3/28/2015
Limited Representative-Private Securities Offerings
General Industry/Product Exam
RR
Series 7
Date: 9/3/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ANDES CAPITAL GROUP, LLC
ANDES CAPITAL GROUP, LLC

CRD#: 139212 / SEC#: , 8-67202

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

Main Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Mailing Address
205 West Wacker Drive Suite 610, Chicago, IL 60606
Phone number
(312) 376-4500
Established
Illinois since 08/03/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
POOLE, SEAN WILLIAMMEMBER7010269
MCGAUGH, RAYMOND SCOTTMEMBER2649886
SPEARS, CURTIS LAVELLPRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER4117812
LENART, BRIAN DOUGLASFINOP, CFO, PFO/POO736107
PEARLMAN, CRAIG ALANPRINCIPAL4456956

Disclosures

Regulatory Event2

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

ANDES CAPITAL GROUP, LLC

CRD#: 139212Chicago, IL 60606

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