DP
Devin Patel
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CRD#: 6632487
DP
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.
Devin Patel, who also goes by Devin Shailesh Patel, was a registered financial professional .
Devin is a previously registered financial professional and started their career in finance in 2017. Devin had worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Devin Shailesh 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.
Count: 2
1) BusinessName: DP Legacy LLC
INVESTMENT RELATED: No
ADDRESS: 17030 Medici Way, Montverde FL 34756
NATURE OF BUSINESS: This is simply an LLC for tax purposes, no activities are performed or actively on behalf of clients for investments or decisions as it is just receiving payments from annuity products that were sold in the past when I was an insurance agent and they cannot be turned off. This was an S corp and I moved it to Sole Proprietorship and it just collects small $44 trails I am paid as a 1099 on various products I had sold in the past and was suggested to be kept open based on my CPA's advice.
POSITION: Owner
RELATIONSHIP: 2020-02-14
APPROXIMATE NUMBER HOURS: 0 hours/month, 0 hours during trading hours
YOUR DUTIES: No investment activities are performed, this is simply a sole proprietorship being used to receive payments on annuities that were sold in the past. All that I do is manage the bank account deposits and tax filings.
2) BusinessName: Patel Alternative Holdings
INVESTMENT RELATED: Yes, Investment Related
ADDRESS: 1215 E. Plant St., Apt 207, Winter Garden FL 34787
NATURE OF BUSINESS: I am not active in this business and it doesn't provide investment services for clients, this is simply for my personal investments in private alternative investments to limit liability. This is a holdings company for oil and gas, real estate equity and debt, and technology equity holdings that were purchased prior to 2021 before I joined Bernstein and is essentially inactive other than for receiving payments and filing tax returns.
POSITION: Owner
RELATIONSHIP: 2020-02-07
APPROXIMATE NUMBER HOURS: 0 hours/month, 0 hours during trading hours
YOUR DUTIES: No activities are being performed other than monitoring bank account deposits and tax filings as this is not an active business rather a holdings company liability and asset protections.
Assets we purchase prior to joining Bernstein, below is a list of them and amounts.
-$50,000 Energy Funders Yield Fund 1
-$10,000 Strategic Technology Assets Fund 2
-$50,000 Strategic Energy Assets Fund VII
-$50,000 Strategic Energy Assets Fund VIII
Any future investments will be summitted to compliance for pre approval before being allowed to invest.
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 30, 2023 - September 17, 2025
SANFORD C. BERNSTEIN & CO., LLC
BD
CRD#: 104474
TAMPA, FL
Past
January 9, 2023 - September 17, 2025
ALLIANCEBERNSTEIN L.P.
RIA
CRD#: 108477
TAMPA, FL
Past
October 15, 2019 - December 5, 2022
FOUNDATIONS INVESTMENT ADVISORS LLC
RIA
CRD#: 175083
LAKE MARY, FL
Past
March 13, 2017 - October 8, 2019
FINANCIAL GRAVITY ASSET MANAGEMENT, INC.
RIA
CRD#: 144008
Lake Mary, FL
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".
SC
SANFORD C. BERNSTEIN & CO., LLC
AUTONOMOUS | SANFORD C. BERSTEIN & CO., LLC | SANFORD C. BERNSTEIN & CO., LLC | BERNSTEIN
CRD#: 104474 / SEC#: 801-57937, 8-52942
RIA
Registered Investment Advisory firm - SEC (9/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans 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.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/17/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
Current Firm
SC
SANFORD C. BERNSTEIN & CO., LLC
AUTONOMOUS | SANFORD C. BERSTEIN & CO., LLC | SANFORD C. BERNSTEIN & CO., LLC | BERNSTEIN
CRD#: 104474 / SEC#: 801-57937, 8-52942
RIA
Registered Investment Advisory firm - SEC (9/28/2000 Approved)BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information
Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
501 Commerce Street, Nashville, TN 37203
Phone number
(800) 251-0539
Established
Delaware since 08/16/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
0
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ALLIANCE CAPITAL MANAGEMENT LLC | SOLE LLC MEMBER | |
| EISENBERG, STEVEN MICHAEL | HEAD OF BUSINESS DEVELOPMENT | 2963027 |
| KRUEGER, GARY MICHAEL | CHIEF FINANCIAL OFFICER AND DIRECTOR | 2840211 |
| MEYERS, RICHARD EDWARD | CHIEF EXECUTIVE OFFICER | 4453533 |
| PURCELL, KEITH ANDREW | PRINCIPAL OPERATIONS OFFICER | 4228391 |
| WRIGHT, DANIEL EUGENE | CHIEF COMPLIANCE OFFICER | 2204732 |
Regulatory assets under management
| Total Number of Accounts | 26 |
| AUM (Assets Under Management) | $ 1,648,000,000 |
Disclosures
| Regulatory Event | 31 |
| Arbitration | 4 |
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.
