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Sunny Patel

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CRD#: 6920130
SP

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.

Sunny Patel was a registered financial professional .

Sunny is a previously registered financial professional and started their career in finance in 2018. Sunny had worked at 1 firm and has passed the Series 63, SIE, Series 79 and Series 62 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)

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®
None

Experience

Past

March 12, 2018 - February 4, 2019

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

BD
CRD#: 41461
CHICAGO, IL

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
RR
Series 63
Date: 3/26/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 79
Date: 3/19/2018
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 62
Date: 3/10/2018
Corporate Securities Limited Representative Examination

Current Firm

PC
PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC
COOPERS & LYBRAND SECURITIES L.L.C. | PWC CORPORATE ADVISORY AND RESTRUCTURING LLC | PRICEWATERHOUSECOOPERS SECURITIES LLC | PRICEWATERHOUSECOOPERS SECURITIES L.L.C. | PRICEWATERHOUSECOOPERS CORPORATE FINANCE LLC | PRICEWATERHOUSECOOPERS CORPORATE ADVISORY AND RESTRUCTURING LLC | PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

CRD#: 41461 / SEC#: , 8-49443

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

Main Address
1 N. Wacker Drive 6th Floor, Chicago, IL 60606
Mailing Address
1 N. Wacker Drive 6th Floor, Chicago, IL 60606
Phone number
(312) 298-2000
Established
Delaware since 06/25/1996
Firm type
Limited Liability Company
Fiscal year end
June
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
PWC US BUSINESS ADVISORY LLPSHAREHOLDER
BRIDEN, STEPHEN JAMESACTING CCO AND POO6162493
CHOPOORIAN, RONALD HAIGMEMBER OF BOARD OF MANAGERS7970815
GILL, MAUREENMEMBER OF BOARD OF MANAGERS7313897
NIEMEYER, MEL JOHNMEMBER OF BOARD OF MANAGERS
ROONEY, THOMAS MMEMBER OF BOARD OF MANAGERS6931609
SCHASCHWARY, MICHAEL JOSEPHACTING FINOP AND PFO6001279
WOLFE, HOWARD DEGRAFF IIIPRESIDENT3049913

Disclosures

Regulatory Event1

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

PRICEWATERHOUSECOOOPERS CORPORATE FINANCE LLC

CRD#: 41461

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