Pranav V. Patel
Professional summary
Pranav V Patel was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Pranav is a previously registered financial professional and started their career in finance in 2007. Prior to being barred, Pranav had worked at 6 firms, which includes DAWSON JAMES SECURITIES INC., COLUMBUS ADVISORY GROUP LTD., NATIONAL SECURITIES CORPORATION, NSM SECURITIES INC., IAA FINANCIAL LLC, GUNNALLEN FINANCIAL INC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2015 - December 2, 2015
DAWSON JAMES SECURITIES, INC.
March 14, 2014 - December 3, 2014
COLUMBUS ADVISORY GROUP, LTD.
May 6, 2013 - March 11, 2014
NATIONAL SECURITIES CORPORATION
November 12, 2012 - May 13, 2013
NSM SECURITIES, INC.
September 18, 2009 - September 5, 2012
IAA FINANCIAL LLC
October 5, 2007 - October 2, 2009
GUNNALLEN FINANCIAL, INC
State Registrations and Notice Filings
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Exams
Current Firm
DAWSON JAMES SECURITIES, INC.
CRD#: 130645 / SEC#: , 8-66367
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 12 |
| Civil Event | 1 |
| Arbitration | 3 |
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