Sonal A. 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.
Sonal Amitkumar Patel, who also goes by Sonal Patel, was a registered financial professional .
Sonal is a previously registered financial professional and started their career in finance in 2006. Sonal had worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 6 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, 2012 - July 30, 2021
AVANTAX ADVISORY SERVICES
December 16, 2011 - July 30, 2021
AVANTAX INVESTMENT SERVICES, INC.
December 1, 2008 - September 28, 2009
INVESTMENT CENTERS OF AMERICA, INC.
January 7, 2008 - December 1, 2008
AMERITAS INVESTMENT COMPANY, LLC
January 10, 2006 - January 17, 2006
METROPOLITAN LIFE INSURANCE COMPANY
January 10, 2006 - January 17, 2006
MSI FINANCIAL SERVICES, INC.
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
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
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.
