Sachin U. Patel

ANDES CAPITAL GROUP

Chicago, IL 60606

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CRD#: 4166856

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"?

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.

1.PCF Realty and Mortgage LLC; Address: 11251 Musette Circle Alpharetta, GA 30009 ;Is the OBA Investment Related: Yes; Nature of Business: Commercial Real Estate Brokerage Firm.; RR's position: Officer; RR' start Date: January 2010; The Approximate number of hours/month: 0 hours per week; During market hours: 0 hours per week - Mostly hours during trading hours; Description of RR's duties: Passive Investment 2.PCF Acquisitions, LLC. Address: 11251 Musette Circle Alpharetta, GA 30009; Is the OBA Investment Related: Yes; Nature of the business: Real Estate Development Company; RR's position: Managing Principal & Founder; Start Date: January 2001; Approximate number of hours/ month: 0 hours a week; Number of hours during market hours: 0 Hours a week - Most during trading hours; Description of duties: Passive Investment in Commercial Real Estate 3.The Atlanta EB-5 Regional Center, LLC. Address: 11251 Musette Circle Alpharetta, GA 30009; Is the OBA Investment Related: Yes; Nature of the business: Approved USCIS Regional Center; RR's position: Founder; Approximate number of hours/month: 5 hours a month, mostly during market trading hours; Description: Passive Limited Partner of Real Estate Commercial Real Estate Broker in GA and FL collecting commissions on property transactions

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

CRD#: 139212

Chicago, IL

Past

September 20, 2023 - December 11, 2024

RAINMAKER SECURITIES, LLC

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

CRD#: 149777

Alpharetta, GA

Past

December 5, 2019 - March 23, 2020

SEQUENCE FINANCIAL SPECIALISTS LLC

CRD#: 132915

FLORENCE, SC

Past

November 4, 2015 - March 4, 2019

VCS VENTURE SECURITIES

CRD#: 127921

NEW YORK, NY

Past

July 13, 2015 - October 30, 2015

HB SECURITIES, LLC

CRD#: 140356

NEWPORT BEACH, CA

Past

March 30, 2015 - July 15, 2015

NMS CAPITAL SECURITIES, LLC

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

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

CRD#: 6321

MINNEAPOLIS, MN

Past

September 11, 2002 - December 8, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

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

IAR

Series 66

Date: 5/29/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/27/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/2/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 82

Date: 3/28/2015

Limited Representative-Private Securities Offerings

General Industry/Product Exam

Series 7

Date: 9/3/2002

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

ANDES CAPITAL GROUP, LLC

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

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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
POOLE, SEAN WILLIAM	MEMBER	7010269
MCGAUGH, RAYMOND SCOTT	MEMBER	2649886
SPEARS, CURTIS LAVELL	PRESIDENT, CEO, CHIEF COMPLIANCE OFFICER, AML COMPLIANCE OFFICER	4117812
LENART, BRIAN DOUGLAS	FINOP, CFO, PFO/POO	736107
PEARLMAN, CRAIG ALAN	PRINCIPAL	4456956

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Sachin U. Patel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sachin Upendra Patel's CRS (Customer Relationship Summary).

Certified licenses

Experience

RAINMAKER SECURITIES, LLC

RED SWAN PRIVATE CLIENT

MORGAN STANLEY

MORGAN STANLEY

SEQUENCE FINANCIAL SPECIALISTS LLC

VCS VENTURE SECURITIES

HB SECURITIES, LLC

NMS CAPITAL SECURITIES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/29/2021

Series 63

Date: 4/27/2015

Series 7TO

Date: 2/2/2021

SIE

Date: 10/1/2018

Series 82

Date: 3/28/2015

Series 7

Date: 9/3/2002

FINRA

Current Firm

ANDES CAPITAL GROUP, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

ANDES CAPITAL GROUP, LLC

TRUST BUT VERIFY

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