Mihir J. 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.
Mihir Jaimini Patel was a registered financial professional .
Mihir is a previously registered financial professional and started their career in finance in 2005. Mihir had worked at 8 firms and has passed the Series 63, Series 7TO, Series 52TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 17, 2019 - October 29, 2020
NATALLIANCE SECURITIES, LLC
November 6, 2015 - December 27, 2018
AURIGA USA, LLC
March 29, 2012 - December 3, 2015
ODEON CAPITAL GROUP LLC
June 8, 2011 - March 22, 2012
COHEN & COMPANY SECURITIES, LLC
November 15, 2010 - May 24, 2011
MAXIM GROUP LLC
March 4, 2009 - March 24, 2010
TP ICAP GLOBAL MARKETS AMERICAS LLC
April 30, 2007 - January 2, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 5, 2005 - February 21, 2007
GOLDMAN SACHS & CO. LLC
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
Series 7TO
Date: 10/27/2022
General Securities Representative ExaminationSeries 52TO
Date: 10/27/2022
Municipal Securities Representative ExaminationSeries 99TO
Date: 10/27/2022
Operations Professional ExaminationCurrent Firm
NATALLIANCE SECURITIES, LLC
CRD#: 39455 / SEC#: , 8-48723
Contact information
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATALLIANCE HOLDING COMPANY LLC | OWNER | |
| ADAMS, JASON | BOARD MEMBER | 2690575 |
| BRENNER, ANDREW SCOTT | BOARD MEMBER | 1227535 |
| BUSH, FRED COSTON | CFO/COO | 3075024 |
| CARREON, MICHELLE ELLIS | CCO | 4861485 |
| GIORDANO, MICHAEL JAMES | BOARD MEMBER | 5942248 |
| HENDRICKSON, GEORGE ALEXANDER BROWN | BOARD MEMBER | 2382347 |
| LIEPMAN, JOHN FRANCIS | BOARD MEMBER | 2037298 |
| LOERCH, SAMUEL JAMES | BOARD MEMBER | 1195328 |
| SALTER, MARK MYLES | BOARD MEMBER/CEO/PRESIDENT | 1180139 |
| TAYLOR, BRADFORD STEPHEN | BOARD MEMBER | 5751455 |
Disclosures
| Regulatory Event | 8 |
Red Flags
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