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SP

Stephen R. Patel

PATELS AND COMPANY CAPITAL
IRVINE, CA
Some features on this profile are disabled
CRD#: 5522136
SP

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.
The advisor shows no other business activity.

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

BD
CRD#: 28195
SAN FRANCISCO, CA
Past

June 16, 2010 - August 30, 2011

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
SAN FRANCISCO, CA
Past

September 5, 2008 - June 25, 2010

BROADPOINT AMTECH, INC.

BD
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)

Exams

State Security Law Exam
RR
Series 63
Date: 9/29/2008
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/8/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 10/20/2008
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 9/4/2008
General Securities Representative Examination

Current Firm

PA
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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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
Irvine, CA
Mailing Address
Phone number
(650) 274-8139
Established
Firm type
Fiscal year end
# of Employees
1

Documents

Latest Form ADV
0

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.

Company Information

PATELS AND COMPANY CAPITAL

CRD#: 335296Irvine, CA

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