Hiren B. Patel
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.
Hiren B. Patel, who also goes by Hiren B Patel, Hiren Patel, was a registered financial professional .
Hiren is a previously registered financial professional and started their career in finance in 2009. Hiren had worked at 4 firms and has passed the Series 66, Series 6TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 10, 2022 - January 3, 2023
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
April 8, 2021 - May 11, 2022
CETERA WEALTH SERVICES, LLC
April 7, 2021 - May 11, 2022
CETERA WEALTH SERVICES, LLC
January 22, 2019 - April 9, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 22, 2019 - April 9, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2010 - August 14, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 20, 2010 - August 14, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 13, 2009 - July 30, 2010
EQUITABLE ADVISORS, LLC
August 25, 2009 - July 30, 2010
EQUITABLE ADVISORS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
CRD#: 102920 / SEC#: 801-64031, 8-52182
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JPMORGAN ASSET MANAGEMENT HOLDINGS INC. | STOCKHOLDER | |
| DONOHUE, JOHN THOMAS | DIRECTOR | 2372302 |
| HOFFMANN, JAMES ARTHUR | CHIEF ADMINISTRATIVE OFFICER | 1949574 |
| KLOZA, KEVIN | CHIEF COMPLIANCE OFFICER | 2188958 |
| LEKSTUTIS, CARMINE | CHIEF LEGAL OFFICER | 6990745 |
| LISHER, ANDREA | PRESIDENT AND DIRECTOR | 4493750 |
| MACHULSKI, MICHAEL RICHARD | DIRECTOR | 4726972 |
| SANZONE, JOSEPH FRANK | DIRECTOR | 6581797 |
| STRIFE, LOREN T | PRINCIPAL FINANCIAL AND OPERATIONS OFFICER | 5393453 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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