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Purvi K. Modi-patel

CAPIS
Dallas, TX 75201
Some features on this profile are disabled
CRD#: 4235543
PM

Professional summary

Purvi K Modi-patel, who also goes by Purvi K Modi, Purvi Kamalkant Modi, Sheetal K Modi, Shital K Modi, Shital Kamalkant Modi, Purvi K Modi-patel, Purvi Patel, is a registered financial professional currently at CAPIS located in Dallas, Texas.

Purvi is registered as a RR (Registered Representative) and started their career in finance in 2000. Purvi has worked at 9 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Purvi K Modi | Purvi Kamalkant Modi | Sheetal K Modi | Shital K Modi | Shital Kamalkant Modi | Purvi K Modi-Patel | Purvi 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 Purvi K Modi-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

April 8, 2025 - Present

CAPIS

Office #1: 1700 Pacific Ave. Suite 1100, Dallas, TX 75201
BD
CRD#: 7551
Dallas, TX
Past

December 9, 2024 - April 3, 2025

TD SECURITIES (USA) LLC

BD
CRD#: 18476
NEW YORK, NY
Past

October 26, 2017 - December 9, 2024

COWEN AND COMPANY

BD
CRD#: 7616
Summit, NJ
Past

September 11, 2015 - November 19, 2018

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

March 4, 2015 - September 11, 2015

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
NEW YORK, NY
Past

July 2, 2012 - April 12, 2013

VIRTU AMERICAS LLC

BD
CRD#: 149823
JERSEY CITY, NJ
Past

June 23, 2008 - July 2, 2012

KNIGHT CAPITAL AMERICAS, L.P.

BD
CRD#: 38599
JERSEY CITY, NJ
Past

January 2, 2007 - June 4, 2008

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

July 23, 2001 - January 2, 2007

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
NEW YORK, NY
Past

December 6, 2000 - March 5, 2001

ICAPITAL MARKETS LLC

BD
CRD#: 5209
OMAHA, NE

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
Texas
(4/8/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 2/6/2001
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: 12/5/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/1/2002
General Securities Principal Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
New York Stock Exchange

Current Firm

CA
CAPIS
CAPIS | CAPITAL INSTITUTIONAL SERVICES, INC.

CRD#: 7551 / SEC#: , 8-22273

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

Main Address
1700 Pacific Ave. Suite 1100, Dallas, TX 75201
Mailing Address
1700 Pacific Ave. Suite 1100, Dallas, TX 75201
Phone number
(214) 720-0055
Established
Texas since 08/31/1977
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (5 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
CULLEN POTTS STOCK TRUSTSHAREHOLDER
HEIDEMANN REVOCABLE TRUSTSHAREHOLDER
CHOATE, DAVID PAULCHIEF OPERATIONS OFFICER1568590
DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS IISHAREHOLDER
DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTONSHAREHOLDER
HEIDEMANN, JORGEN HAMILTONDIRECTOR1042114
HUSEINBEGOVIC, BENIN NMNCHIEF FINANCIAL OFFICER / FINOP4806696
KICAK, THOMAS ALANCHIEF COMPLIANCE OFFICER1441596
LAMENDOLA, STEPHEN DEANCHIEF INFORMATION OFFICER4006443
POTTS, DONALD CULLEN IITRUSTEE, CULLEN POTTS STOCK TRUST2845666
POTTS, DONALD CULLEN IICHAIRMAN OF THE BOARD2845666
SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS IISHAREHOLDER
SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTONSHAREHOLDER
SEBERT, ANN VANSANTTRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II4589262
SEBERT, ANN VANSANTTRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO DONALD CULLEN POTTS II4589262
SEBERT, ANN VANSANTTRUSTEE, SARA SUE POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON4589262
SEBERT, ANN VANSANTTRUSTEE, DONALD C. POTTS DYNASTY TRUST FBO KRISTI POTTS WETHERINGTON4589262
SEBERT, ANN VANSANTCHIEF EXECUTIVE OFFICER4589262

Disclosures

Regulatory Event9

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

CAPIS

CRD#: 7551Dallas, TX 75201

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