Sunny Patel

THE GOFF FINANCIAL GROUP

Houston, TX 77046

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CRD#: 5486059

Professional summary

Sunny Patel, who also goes by Sunny H Patel, is a registered financial advisor currently at THE GOFF FINANCIAL GROUP located in Houston, Texas.

Sunny is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Sunny has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Sunny H 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.

Name of other business: Patel Global Group LLC; Is business Investment related: No; Address of other business: 11440 Clay Road, Houston, TX 77041; Nature of other business: Hotel; Your position: Member; Start date of relationship: 03/20/21; Approx. # of hours /month devote to other business: 5; Number of hours devoted to other business during securities trading hours: 0 Briefly describe duties: Passive Investor

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sunny Patel's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

February 6, 2024 - Present

THE GOFF FINANCIAL GROUP

Office #1: 11 Greenway Plaza Suite 1425, Houston, TX 77046

RIA

CRD#: 114796

Houston, TX

Past

October 15, 2019 - July 14, 2021

EDWARD JONES

RIA

CRD#: 250

Boca Raton, FL

Past

September 20, 2019 - July 14, 2021

EDWARD JONES

CRD#: 250

Boca Raton, FL

Past

February 12, 2008 - June 29, 2009

GROUP ONE TRADING LLC

CRD#: 37484

CHICAGO, IL

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".

THE GOFF FINANCIAL GROUP

CRD#: 114796 / SEC#: 801-62129

RIA

Registered Investment Advisory firm - (6/19/2003 Approved)

Texas

Registered Investment Advisory firm - (5/18/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Texas
(2/6/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/12/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/26/2024

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/27/2019

Securities Industry Essentials Examination

Current Firm

THE GOFF FINANCIAL GROUP

CRD#: 114796 / SEC#: 801-62129

RIA

Registered Investment Advisory firm - (6/19/2003 Approved)

Texas

Registered Investment Advisory firm - (5/18/2006 Terminated)

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Contact information

Main Address

11 Greenway Plaza Suite 1425, Houston, TX 77046

Mailing Address

Po Box 22128, Houston, TX 77227-2128

Phone number

(713) 850-8900

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GOFF ADV 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	639
AUM (Assets Under Management)	$ 572,591,176

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.

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Sunny Patel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Sunny Patel's CRS (Customer Relationship Summary).

Certified licenses

Experience

THE GOFF FINANCIAL GROUP

EDWARD JONES

EDWARD JONES

GROUP ONE TRADING LLC

Primary Firm SEC Registration

THE GOFF FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 10/12/2019

Series 7TO

Date: 3/26/2024

SIE

Date: 8/27/2019

Current Firm

THE GOFF FINANCIAL GROUP

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE GOFF FINANCIAL GROUP

TRUST BUT VERIFY

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