Apurvi H. 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.
Apurvi Hemal Patel, who also goes by Apurvi Hemal Patel Mrs., Apurviben Mayankkumar Patel Ms., was a registered financial professional .
Apurvi is a previously registered financial professional and started their career in finance in 2010. Apurvi had worked at 3 firms and has passed the Series 63, SIE 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
September 10, 2015 - August 8, 2016
NORTHWEST FINANCIAL GROUP LLC
August 17, 2015 - August 31, 2016
LPL FINANCIAL LLC
November 24, 2010 - March 30, 2015
M&T SECURITIES, 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
NORTHWEST FINANCIAL GROUP LLC
CRD#: 145064 / SEC#: , 8-67698
Contact information
FINRA licenses (2 States and Territories)
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.
