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AP

Alka Patel

ASANTE CAPITAL GROUP ADVISORS LLC
London, W1S 3AN
Some features on this profile are disabled
CRD#: 5690370
AP

Professional summary

Alka Patel is a registered financial professional currently at ASANTE CAPITAL GROUP ADVISORS LLC .

Alka is registered as a RR (Registered Representative) and started their career in finance in 2009. Alka has worked at 2 firms and has passed the Series 63, Series 99TO, SIE and Series 27 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Alka 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

September 14, 2011 - Present

ASANTE CAPITAL GROUP ADVISORS LLC

Office #1: 4th Floor 25 Old Burlington Street, London, W1S 3ANOffice #2: 4th Floor 25 Old Burlington Street, London, W1S 3AN
BD
CRD#: 155178
London,
Past

November 17, 2009 - September 30, 2010

MVISION PRIVATE EQUITY ADVISERS USA LLC

BD
CRD#: 122242
LONDON,

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Florida
(3/12/2012)
RR
Indiana
(4/30/2012)

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/2012
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 1/2/2023
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 27
Date: 11/16/2009
Financial and Operations Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AC
ASANTE CAPITAL GROUP ADVISORS LLC
ACG ADVISORS, LLC | ASANTE CAPITAL GROUP ADVISORS LLC

CRD#: 155178 / SEC#: , 8-68701

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
4th Floor 25 Old Burlington Street, London, W1S 3AN
Mailing Address
4th Floor 25 Old Burlington Street, London, W1S 3AN
Phone number
+44 203 696 4700
Established
Delaware since 06/07/2010
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ASANTE CAPITAL LIMITEDSHAREHOLDER
HIBBERT, WARREN THIRKELLCHIEF COMPLIANCE OFFICER4742670
JANSE VAN RENSBURG, FRASER SIMPSONMANAGING MEMBER5085801
PATEL, ALKAFINANCIAL OPERATIONS PRINCIPAL5690370

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

ASANTE CAPITAL GROUP ADVISORS LLC

CRD#: 155178London, W1S 3AN

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