Stephen R. Patel

PATELS AND COMPANY CAPITAL

IRVINE, CA

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CRD#: 5522136

Professional summary

Stephen Rasik Patel, who also goes by Stephen R Patel, is a registered financial advisor currently at PATELS AND COMPANY CAPITAL located in Irvine, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Stephen has worked at 4 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephen R 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.

I am a full-time employee of Southern California Edison (SCE), an electric utility company located at 2244 Walnut Grove Ave, Rosemead, CA 91770. As Sr. Manager of Investments, my responsibilities at SCE include overseeing pension and other assets such as health and welfare trusts, a nuclear decommissioning trust, and defined contribution assets. My work at SCE totals approximately 160 hours per month (or 40 hours per week) during normal business hours. My work with Patels and Company Capital will be approximately 20 hours per month (or 5 hours per week), conducted during evenings and weekends. My employment at SCE begin in September 2017 and I founded Patels and Company as a sole proprietorship in May 2025. The two businesses are unrelated, and potential conflicts of interest are addressed in my Form ADV Part 2.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Rasik Patel's 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

July 29, 2025 - Present

PATELS AND COMPANY CAPITAL

RIA

CRD#: 335296

IRVINE, CA

Past

October 11, 2011 - January 8, 2015

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

CRD#: 28195

SAN FRANCISCO, CA

Past

June 16, 2010 - August 30, 2011

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

SAN FRANCISCO, CA

Past

September 5, 2008 - June 25, 2010

BROADPOINT AMTECH, INC.

CRD#: 121456

SAN FRANCISCO, CA

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

California
(7/29/2025)

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

Series 63

Date: 9/29/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/8/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 10/20/2008

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 9/4/2008

General Securities Representative Examination

Current Firm

PATELS AND COMPANY CAPITAL

PATEL AND COMPANY CAPITAL | PATELS AND COMPANY CAPITAL | PATEL, STEPHEN RASIK

CRD#: 335296 / SEC#:

California

Registered Investment Advisory firm - (7/29/2025 Approved)

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Contact information

Main Address

Irvine, CA

Mailing Address

Phone number

(650) 274-8139

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Stephen R. Patel

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

PATELS AND COMPANY CAPITAL

INTERNATIONAL STRATEGY & INVESTMENT GROUP LLC

GLEACHER & COMPANY SECURITIES, INC.

BROADPOINT AMTECH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/29/2008

SIE

Date: 1/8/2015

Series 87

Date: 10/20/2008

Series 7

Date: 9/4/2008

Current Firm

PATELS AND COMPANY CAPITAL

Contact information

Documents

Red Flags

Company Information

PATELS AND COMPANY CAPITAL

TRUST BUT VERIFY

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