Malay 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.
Malay Bhrugesh Patel, who also goes by Malay B. Patel, was a registered financial professional .
Malay is a previously registered financial professional and started their career in finance in 2017. Malay had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 31, 2018 - February 22, 2020
SMH CAPITAL INVESTMENTS LLC
July 5, 2018 - January 2, 2019
SANDERS MORRIS LLC
April 10, 2018 - May 29, 2018
LEVEL FOUR ADVISORY SERVICES
December 13, 2017 - June 7, 2018
LPL FINANCIAL 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
Current Firm
SMH CAPITAL INVESTMENTS LLC
CRD#: 24535 / SEC#: , 8-40904
Contact information
FINRA licenses (8 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MOYERS ORGANIZATION LLC | OWNER | |
| MOYERS, DWAYNE ALAN | CEO/CCO/FINOP | 1850654 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 1 |
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.
