AP
Anant Patel
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CRD#: 5613647
AP
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.
Anant Patel, who also goes by Andy Ishwerbhai Patel, was a registered financial professional .
Anant is a previously registered financial professional and started their career in finance in 2009. Anant had worked at 2 firms and has passed the Series 65 exam.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Andy Ishwerbhai 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Patel Living Trust, dated 09/29/2000-ANANT & ANITA PATEL / 0622-Present / Investment Related: Yes / 3220 E Los Gatos Dr. Phoenix, AZ 85050 / Home Owner / Rental Property / Hrs. Work Monthly: 5 / Sec Trading Hrs: 0 / Will be staying their when I am in Phenix, my sister and her husband will be staying there a few years SOUTHWEST HOSPITALITY MANAGEMENT, LLC (SWHM, LLC) BW PAYSON, LLC DBA: BEST WESTERN PAYSON INN DBA: LA QUINTA INN & SUTIES, LLC DBA: HOLIDAY INN EXPRESS VISION SOFTWARE TECHNOLOGY, INC. YES REAL ESTATE AND PROPERTY MANAGMENT 5067 N. MARIPOSA AVE. STE. # 103 FRESON, CA 93710 6630 E. BASELINE RD. STE. # 101 MESA, AZ 85206 MANAGEMENT OF LODGING PROPERTIES-EXISTING AND NEW CONSTRUCTION DIRECTOR OF PROPERTY DEVLOPMENT AND CO-OWNER WITH 25% OWNERSHIP JANUARY 04 80 HOURS/MONTH 4 HOURS PER DAY DURING TRADING HOURS PRIORITIZE PROPERTY CAPITAL EXPENSE AND CREATE BUDGETS FOR HOTEL RENOVATIONS, DEVELOPMENT OF NEW HOTEL CONSTRUCTION, AND IMPLEMENT HOTEL BRAND STANDARDS AS REALTED CAPITAL IMPORVEMNTS.BNP LODGING, LLC.; NON-INVESTMENT RELATED; 1551 N PEACH AVE, FRESNO, CA 93727; WILL ACT AS A MEMBER OF THE BNP LODGING, LLC.; 11/2012; 20 HR/MONTH/HIGH PINES HOTEL, LLC; YES, INVESTMENT RELATED; 6630 E. BASELINE RD, SUITE # 101, MESA AZ 85206; THIS IS JUST RAW LAND TO BE DEVELOPED INTO A HOTEL; MANAGER; 10/2014; 1 HR/MONTH; 0 HRS/MONTH; WILL USE MY NAME TO OBTAIN FINANCING. NO MAIN DUTIES AS MY PARTNER WILL HANDLE ALL WORK NECESSARY TO BUILD THE HOTEL /MOUNTAIN VIEW HOTEL, LLC; 6630 E. BASELINE RD, SUITE 101, MESA AZ 85206; THIS IS JUST RAW LAND TO BE DEVELOPED INTO A HOTEL; MANAGER; 10/2014; 1 HR/MONTH; 0 HR/MONTH; NONE- USING MY NAME TO GET SBA LOAN./CACTUS HOSPITALITY, LLC/YES/6630 E. BASELINE ROAD, MESA, AZ, 85206/EXISTING HOTEL CONVERTED TO HOLIDAY INN EXPRESS BRAND/MEMBER/11.30.2015/1/1/I OVERSEE THE RENOVATION BUDGET DURING RENOVATION. AFTER RENOVATION - JUST SITE VISITS TO PLAN FUTURE RENOVATIONS/TPSO, LLC; 1/25/2019; MEMBER OF TSPO LLC; INVESTMENT RELATED- YES; 4412 TANGLEWOOD LN ODESSA TX 79762; RUNNING HOTEL -PRIMARILY AN EXTENDED STAY HOTEL NEAR OIL FIELDS -MARRIOTT BRANDED -PROVIDE DAILY TO LONG TERM LODGING SVCS TO GUEST; HOURS 1; APPROVED WITH RESTRICTIONS / UNITED AMERICAN INSURANCE COMPANY/NO/3700 S STONEBRIDGE DR MCKINNEY CA 75070/AGENT 8/8/2012-/ SELL SUPPLEMENTAL POLICIES /
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Past
January 6, 2012 - September 8, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
MODESTO, CA
Past
April 6, 2009 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
VISALIA, CA
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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
This advisor is not registered in any state.
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
