AP
Amrish N. Patel
INDEPENDENT FINANCIAL GROUP
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 4449749
AP
Professional summary
Amrish Navnitbhai Patel, who also goes by Amrish N Patel, is a registered financial advisor currently at INDEPENDENT FINANCIAL GROUP, LLC located in Scottsdale, Arizona.
Amrish is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Amrish has worked at 6 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amrish N 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) PATEL WEALTH MANAGEMENT POSITION: Officer/Director NATURE: DBA Name for Marketing Purposes Only INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 168 START DATE: 06/29/2006 ADDRESS: 8777 N. Gainey Center Dr. Suite : 161, Scottsdale AZ 85258, United States DESCRIPTION: OWNER OF PATEL WEALTH MANAGEMENT, LLC DBA GLOBAL WEALTH STRATEGIES OFFERING INSURANCE, BROKERAGE AND ADVISORY SERVICES (2) AGUILA REALTY LLC POSITION: one of the member NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 02/18/2005 ADDRESS: 1802 W Lynx Way,, Chandler AZ 85248, United States DESCRIPTION: PARTIAL OWNER OF VACANT LAND INVESTMENT (3) GWS ADVISORS, LLC POSITION: Officer/Director NATURE: Consulting Services INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 2 START DATE: 09/12/2013 ADDRESS: 1802 W LYNX WAY, CHANDLER AZ 85248, United States DESCRIPTION: OWNER OF GWS ADVISORS, LLC OFFERING PRIVATE CONSULTING AND BUSINESS COACHING (4) TRUST PROTECTOR POSITION: Trust Protector NATURE: Acting as a POA, Trustee, Executor INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2013 ADDRESS: 8777 N. Gainey Center Dr. Suite : 161, Scottsdale AZ 85258, United States DESCRIPTION: ACTING AS TRUST PROTECTOR. (5) ISHANA MANAGEMENT COMPANY POSITION: owner NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2009 ADDRESS: 1802 W Lynx Way, Chandler AZ 85248, United States DESCRIPTION: 50% OWNER OF ISHANA MANAGEMENT COMPANY, LLC, A MANAGEMENT ENTITY FOR PERSONAL FAMILY ESTATE PLANNING planning (6) DHISHANA VENTURES LP POSITION: Family Holding company as part of the estate planning. NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2009 ADDRESS: 1802 W Lynx Way, Chandler AZ 85248, United States DESCRIPTION: 49.5% OWNER OF DHISHANA VENTURES L.P., A FAMILY HOLDING COMPANY FOR ESTATE PLANNING (7) NAMAH REALTY LLC POSITION: Officer/Director NATURE: Real Estate Sales/Rental Properties/Property Management INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/02/2008 ADDRESS: 1802 W LYNX WAY, CHANDLER AZ 85248-5427, United States DESCRIPTION: 49.5% OWNER OF NAMAH REALTY, LLC, AN OFFICE CONDO RENTAL PROPERTY. (8) GWS TAX FACTS, LLC POSITION: Business Tax Strategist NATURE: Tax Preparation/Accounting/Bookkeeping/CPA INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 03/15/2021 ADDRESS: 4425 E. Agave Road, Ste 117, Phoenix AZ 85044, United States DESCRIPTION: 50% OWNER OF GWS Tax FACTS,LLC consulting customers on business and tax strategies. Business entity consulting and organization using CorpNet, Inc. GWS ADVISORS LLC POSITION: Owner - consultant NATURE: Other: INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2024 ADDRESS: 1802 W. Lynx Way, Chandler AZ 85248, United States DESCRIPTION: These services detailed to add to the approved business consulting OBA for GWS Advisors LLC. College Planning and Finding: Provide consulting for the preparation for college selection, admission and funding the educational expenses. TAX optimization: Work with clients and their professionals to review and optimize strategies for the personal and business taxes using financial services as well as business strategies. Estate Planning: Define the need to address the family wealth management to manager, protect and transfer wealth through appropriate titling of assets. SANDSTONE VENTURE PARTNERS, LLC POSITION: Manager NATURE: Other: INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/18/2025 ADDRESS: 1802 W. Lynx Way, Chandler AZ 85248, United States DESCRIPTION: Work with the family members to passively manage investments,
CRS (Client Relationship Summary) - RIA
Click below to view Amrish Navnitbhai Patel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amrish Navnitbhai 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®
NoneExperience
Current
July 20, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 8777 N. Gainey Center Drive Ste. 161, Scottsdale, AZ 85258RIA
BD
CRD#: 7717
Scottsdale, AZ
Current
July 20, 2018 - Present
INDEPENDENT FINANCIAL GROUP, LLC
Office #1: 8777 N. Gainey Center Drive Ste. 161, Scottsdale, AZ 85258RIA
BD
CRD#: 7717
Scottsdale, AZ
Past
March 25, 2017 - July 26, 2018
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
TEMPE, AZ
Past
March 25, 2017 - July 26, 2018
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
TEMPE, AZ
Past
October 23, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
TEMPE, AZ
Past
October 23, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
TEMPE, AZ
Past
July 11, 2006 - October 23, 2015
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
CHANDLER, AZ
Past
June 29, 2006 - October 23, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
CHANDLER, AZ
Past
February 22, 2002 - July 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
PHOENIX, AZ
Past
November 16, 2001 - July 7, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
PHOENIX, AZ
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Arizona(7/20/2018)
IAR
Arizona(7/24/2018)
RR
California(7/20/2018)
RR
Colorado(7/20/2018)
RR
Florida(7/20/2018)
RR
Georgia(7/20/2018)
RR
Illinois(1/7/2019)
RR
Indiana(10/23/2025)
RR
Kansas(7/20/2018)
RR
Kentucky(7/8/2024)
RR
Massachusetts(10/6/2023)
RR
Michigan(10/6/2023)
RR
New Jersey(7/20/2018)
RR
New York(7/20/2018)
RR
North Carolina(11/15/2018)
RR
Ohio(1/3/2019)
RR
Pennsylvania(11/11/2020)
RR
South Carolina(10/16/2025)
RR
Texas(7/20/2018)
IAR
Texas(7/20/2018)
RR
Virginia(7/20/2018)
RR
Washington(3/18/2022)
RR
Wisconsin(11/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
INDEPENDENT FINANCIAL GROUP, LLC
HAGERTY STEWART & ASSOCIATES LLC | INDEPENDENT FINANCIAL GROUP, LLC | INDEPENDENT FINANCIAL GROUP, INC | IFG FINANCIAL GROUP, LLC | HAGERTY, VAN MOURICK & LOGAN | HAGERTY, STEWART AND ASSOCIATES, INC. | HAGERTY, STEWART & ASSOCIATES, INC.
CRD#: 7717 / SEC#: 801-62667, 8-22870
RIA
Registered Investment Advisory firm - SEC (1/30/2004 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Mailing Address
12671 High Bluff Drive Suite 200, San Diego, CA 92130
Phone number
(858) 436-3180
Established
Delaware since 07/09/2001
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
622
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INDEPENDENT FINANCIAL GROUP, INC. | OWNER | |
| DAVIS, SCOTT EARLE | CFO & FINOP | 7160800 |
| DENNEN, BRIAN | CCO BROKERAGE & ADVISORY | 3239786 |
| FISCHER, DAVID ALLEN | MANAGING DIRECTOR | 1634222 |
| HEISING, SCOTT ALLEN | CHIEF EXECUTIVE OFFICER/ MANAGING DIRECTOR | 2192259 |
| KEEFE, KEVIN MICHAEL | PRESIDENT, COO | 1869560 |
| KREISMAN, SARAH JILL | SVP & GENERAL COUNSEL | 2671706 |
| PEARSON, TROY DALE | ROSFP | 2413897 |
Regulatory assets under management
| Total Number of Accounts | 44,046 |
| AUM (Assets Under Management) | $ 11,322,059,063 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 2 |
| Bond | 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.
