SP
Sunny B. Patel
SVB WEALTH
New York, NY 10036
Some features on this profile are disabled
CRD#: 5909905
SP
Professional summary
Sunny B Patel is a registered financial advisor currently at SVB WEALTH located in New York, New York and FIRST CITIZENS INVESTOR SERVICES, INC. located in New York, New York.
Sunny is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Sunny has worked at 6 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) SVB Wealth, 11 W. 42nd St. New York, NY 10036; Investment Advisory Firm; As a Private Banker I will be meeting with existing and prospective clients to discuss our full range of investment capabilities; 60 hours/month Compensation is part of salary paid by FCIS. No direct compensation received from SVBW 2) FIRST CITIZENS ASSET MANAGEMENT POSITION: Employee NATURE: FCAM is an affiliated IA firm INVESTMENT RELATED: Yes NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 05/10/2024 ADDRESS: 11 W. 42nd Street, New York NY 10036, United States DESCRIPTION: FCAM is an affiliated IA Firm. As a Private Banker I will be meeting with existing and prospective clients to discuss our full range of investment capabilities. Compensation is part of salary paid by FCIS. No direct compensation received from FCAM
CRS (Client Relationship Summary) - RIA
Click below to view Sunny B 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®
NoneExperience
Current
May 23, 2024 - Present
SVB WEALTH
Office #1: 11 West 42nd Street 13th Floor, New York, NY 10036RIA
CRD#: 172832
New York, NY
Current
May 23, 2024 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 11 West 42nd Street, New York, NY 10036RIA
BD
CRD#: 44430
New York, NY
Current
May 23, 2024 - Present
FIRST CITIZENS INVESTOR SERVICES, INC.
Office #1: 11 West 42nd Street, New York, NY 10036RIA
BD
CRD#: 44430
New York, NY
Past
January 29, 2024 - February 26, 2024
AVESTAR CAPITAL, LLC
RIA
CRD#: 287525
NEW YORK, NY
Past
January 29, 2014 - June 26, 2023
FIRST REPUBLIC SECURITIES COMPANY, LLC
BD
CRD#: 105108
New York, NY
Past
October 1, 2012 - December 24, 2013
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
PORT WASHINGTON, NY
Past
May 10, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
BD
CRD#: 25574
PORT WASHINGTON, NY
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".
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)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.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
New York(5/23/2024)
IAR
New York(5/23/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/10/2024
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
SW
SVB WEALTH
BANYAN PARTNERS | SVB WEALTH LLC | SVB WEALTH | SVB PRIVATE | KLS, A DIVISION OF SVB WEALTH LLC | KLS, A DIVISION OF BOSTON PRIVATE | BP WEALTH MANAGEMENT, LLC | BP WEALTH MANAGEMENT | BOSTON PRIVATE, AN SVB COMPANY | BOSTON PRIVATE WEALTH MANAGEMENT | BOSTON PRIVATE WEALTH LLC | BOSTON PRIVATE WEALTH | BOSTON PRIVATE
CRD#: 172832 / SEC#: 801-80480
RIA
Registered Investment Advisory firm - (10/2/2014 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
53 State Street 28th Floor, Boston, MA 02109
Mailing Address
Po Box 27131, Raleigh, NC 27611
Phone number
(617) 223-0200
Established
Firm type
Fiscal year end
# of Employees
85
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 3,739 |
| AUM (Assets Under Management) | $ 4,983,411,995 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/21/2025 | ||
| 09/20/2024 | ||
| 10/31/2022 |
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.
