Kaushal V. 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.
Kaushal V Patel, who also goes by Kaushal V. Patel, was a registered financial professional .
Kaushal is a previously registered financial professional and started their career in finance in 2000. Kaushal had worked at 9 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2015 - September 23, 2016
BB&T INVESTMENT SERVICES, INC.
March 19, 2014 - November 3, 2015
CETERA INVESTMENT SERVICES LLC
May 30, 2013 - February 27, 2014
NYLIFE SECURITIES LLC
October 6, 2011 - February 13, 2013
PRUCO SECURITIES, LLC.
June 28, 2010 - September 9, 2011
PARK AVENUE SECURITIES LLC
December 4, 2003 - June 4, 2010
NYLIFE SECURITIES LLC
May 8, 2002 - October 29, 2003
THE ADVISORS GROUP, INC.
August 6, 2001 - April 30, 2002
MONY SECURITIES CORPORATION
July 20, 2000 - June 20, 2001
METROPOLITAN LIFE INSURANCE COMPANY
July 20, 2000 - June 20, 2001
MSI FINANCIAL SERVICES, INC.
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
BB&T INVESTMENT SERVICES, INC.
CRD#: 33856 / SEC#: 801-106629, 8-46134
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BRANCH BANKING AND TRUST COMPANY | SHAREHOLDER | |
| CECIL, ALEXANDER WILSON | CHIEF COMPLIANCE OFFICER | 2319938 |
| CRAM, BRYAN SCOTT | PRESIDENT | 2723431 |
| EARNHARDT, DARREN LEE | CHIEF OPERATING OFFICER | 2356117 |
| EVANS, RICHARD TABB III | DIRECTOR OF SALES/DIRECTOR | 1643552 |
| SAUFLEY, RANDALL BARRETT | CHIEF FINANCIAL OFFICER | 1664935 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
