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MP

Minal P. Patel

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CRD#: 5011228
MP

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.

Minal Pravin Patel, who also goes by Minal Patel, was a registered financial professional .

Minal is a previously registered financial professional and started their career in finance in 2005. Minal had worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Minal 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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 4, 2021 - August 11, 2025

UNITED BROKERAGE SERVICES, INC

BD
CRD#: 39062
Lincolnton, NC
Past

July 9, 2019 - December 16, 2019

CAPITAL ONE SECURITIES, INC.

BD
CRD#: 44158
New York, NY
Past

May 16, 2016 - September 22, 2017

CITIZENS CAPITAL MARKETS

BD
CRD#: 277073
NEW YORK, NY
Past

November 13, 2013 - May 16, 2016

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
BOSTON, MA
Past

February 5, 2010 - March 12, 2013

JEFFERIES LLC

BD
CRD#: 2347
NEW YORK, NY
Past

August 30, 2005 - February 22, 2007

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
CHARLOTTE, NC

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".
UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC

CRD#: 39062 / SEC#: 801-80804, 8-48685

RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)
District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)
Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)
Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)
West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 2/17/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/22/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/4/2010
General Securities Representative Examination

Current Firm

UB
UNITED BROKERAGE SERVICES, INC
UNITED BROKERAGE SERVICES INC | UNITED INSURANCE & BROKERAGE SERVICES | UNITED BROKERAGE SERVICES, INC

CRD#: 39062 / SEC#: 801-80804, 8-48685

RIA
Registered Investment Advisory firm - SEC (1/9/2015 Approved)
District of Columbia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
Kentucky
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
Maryland
Registered Investment Advisory firm - SEC (2/26/2015 Terminated)
New Jersey
Registered Investment Advisory firm - SEC (1/30/2015 Terminated)
Ohio
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
Pennsylvania
Registered Investment Advisory firm - SEC (1/22/2015 Terminated)
Texas
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
Virginia
Registered Investment Advisory firm - SEC (1/21/2015 Terminated)
West Virginia
Registered Investment Advisory firm - SEC (1/20/2015 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information

Main Address
514 Market Street, Parkersburg, WV 26101
Mailing Address
P. O. Box 1508, Parkersburg, WV 26102-1508
Phone number
(888) 424-6158
Established
West Virginia since 04/24/1995
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
101

SEC notice filing (17 States and Territories)

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

FINRA licenses (46 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

2025 ADV BROCHURE ANNUAL AMENDMENT (3/31/2025)
2025 CLIENT DIRECTED WRAP BROCHURE ADV AMENDMENT (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
UNITED ASSET MANAGEMENT CORP.OWNER
ADAMS, RICHARD MATTHEW JRCHAIRMAN OF THE BOARD/DIRECTOR2656091
BOARD, ANGIE MARIEFINOP6464533
EARL, MICHEAL LENCHIEF COMPLIANCE OFFICER4266715
GURTIS, JULIE RITCHIEDIRECTOR
HUMPHREY, MATTHEW LEECHIEF EXECUTIVE OFFICER/DIRECTOR5943475
MOCK, DONALD FREDERICKDIRECTOR5059205
MUDLAFF, THOMAS JAMESCHIEF OPERATIONS OFFICER2359466
REYNOLDS, FRANK KEVINDIRECTOR5731814
SHAVER, AMI LEEDIRECTOR2771684

Regulatory assets under management

Total Number of Accounts1,889
AUM (Assets Under Management)$ 389,130,559

Disclosures

Bond1

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

UNITED BROKERAGE SERVICES, INC

CRD#: 39062

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