Rajesh 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.
Rajesh Patel, who also goes by Rajesh C Patel, was a registered financial professional .
Rajesh is a previously registered financial professional and started their career in finance in 2001. Rajesh had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 20, 2024 - April 17, 2026
J.P. MORGAN SECURITIES LLC
November 18, 2024 - April 17, 2026
J.P. MORGAN SECURITIES LLC
May 5, 2016 - November 19, 2024
PFS INVESTMENTS INC.
April 19, 2016 - November 19, 2024
PFS INVESTMENTS INC.
October 3, 2013 - May 14, 2014
VOYA FINANCIAL ADVISORS, INC.
September 27, 2013 - May 14, 2014
VOYA FINANCIAL ADVISORS, INC.
October 1, 2012 - June 26, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - June 26, 2013
J.P. MORGAN SECURITIES LLC
August 9, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
August 9, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 10, 2008 - December 31, 2010
TOWER SQUARE SECURITIES, INC.
January 3, 2005 - December 31, 2010
TOWER SQUARE SECURITIES, INC.
November 20, 2002 - January 3, 2005
LADENBURG THALMANN & CO. INC.
November 2, 2001 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
July 18, 2001 - November 28, 2001
CONTINENTAL BROKER-DEALER CORP.
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
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
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLAVITA, MOLLIE | ELECTED MANAGER | 1875615 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 393 |
| Civil Event | 9 |
| Arbitration | 144 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 |
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.
