Shailesh S. Patel

PATEL CAPITAL MANAGEMENT | Financial Consultant

SAN FRANCISCO, CA

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CRD#: 4593743

Professional summary

Shailesh S. Patel, who also goes by Shailesh Patel, Sy Patel, is a registered financial advisor currently at PATEL CAPITAL MANAGEMENT located in San Francisco, California.

Shailesh is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Shailesh has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Biography

Sy Patel and his team work with their clients in identifying the full capabilities of Fidelity Investments.   As an industry leader in technology and product offerings, our services are tailored to the specific needs of our clients.   We believe a trusted partnership begins with listening to our clients.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Shailesh Patel | Sy 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.

Shailesh Patel is currently a licensed insurance agent, however, he no longer sells any insurance products. This insurance license was tied to Shailesh Patel's previous employer and his intention is to let it expire. This creates a conflict of interest because Shailesh Patel has an incentive to offer fee-based insurance solutions as long as the license is active. To mitigate the existence of this conflict, as a fiduciary Shailesh Patel has a duty to act solely in the best interests of each Client and will not sell any insurance products. Clients are under no obligation to act upon the recommendations of PCM or Shailesh Patel.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shailesh S. 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

Education

University of Pennsylvania

Master of Science (MS) - Technology Management

2002

La Salle University

Bachelor of Science (BS) - Finance & Marketing

1992

Experience

Current

September 13, 2024 - Present

PATEL CAPITAL MANAGEMENT

RIA

CRD#: 332403

SAN FRANCISCO, CA

Past

July 13, 2018 - July 8, 2024

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

BOSTON, MA

Past

December 11, 2014 - July 13, 2018

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SAN FRANCISCO, CA

Past

October 28, 2014 - July 8, 2024

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SAN FRANCISCO, CA

Past

January 3, 2012 - September 9, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SAN FRANCISCO, CA

Past

November 1, 2011 - September 9, 2014

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SAN FRANCISCO, CA

Past

November 19, 2002 - March 26, 2003

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

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.

Highlighted states indicate IAR registrations

IAR

California
(9/13/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/29/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/31/2011

General Securities Representative Examination

Current Firm

PATEL CAPITAL MANAGEMENT

PATEL CAPITAL MANAGEMENT | PATEL CAPITAL MANAGEMENT LLC

CRD#: 332403 / SEC#: 801-131111

RIA

Registered Investment Advisory firm - (12/3/2024 Terminated)

California

Registered Investment Advisory firm - (11/27/2024 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

San Francisco, CA

Mailing Address

Phone number

(415) 867-4301

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	14
AUM (Assets Under Management)	$ 7,000,000

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Shailesh S. Patel

Professional summary

Biography

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Shailesh S. Patel's CRS (Customer Relationship Summary).

Certified licenses

Education

University of Pennsylvania

La Salle University

Experience

FIDELITY PERSONAL AND WORKPLACE ADVISORS

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/29/2011

SIE

Date: 10/1/2018

Series 7

Date: 10/31/2011

Current Firm

PATEL CAPITAL MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PATEL CAPITAL MANAGEMENT

TRUST BUT VERIFY

Contact information

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