Prateek C. Patel
Professional summary
Prateek C Patel, who also goes by Prateek C Patel, is a registered financial professional currently at CITIZENS JMP SECURITIES, LLC located in New York, New York.
Prateek is registered as a RR (Registered Representative) and started their career in finance in 2021. Prateek has worked at 3 firms and has passed the Series 63, Series 99TO, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Prateek C Patel's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 29, 2025 - Present
CITIZENS JMP SECURITIES, LLC
Office #1: 437 Madison Avenue 18th Floor, New York, NY 10022August 31, 2021 - July 14, 2025
MORGAN STANLEY & CO. LLC
July 6, 2021 - August 10, 2021
RBC CAPITAL MARKETS, 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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 7TO
Date: 7/6/2021
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
CITIZENS JMP SECURITIES, LLC
CRD#: 22208 / SEC#: , 8-39613
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JMP HOLDING LLC | PARENT COMPANY | |
| CONROY, WALTER IVOR | GENERAL COUNSEL | 6641487 |
| GREGORY, JOHN | PRESIDENT | 4600619 |
| JACKSON, RAYMOND SIVA | CHIEF FINANCIAL OFFICER | 5563363 |
| MANNING, SIMON STONE | SENIOR REGISTERED OPTIONS PRINCIPAL (SROP) | 1941279 |
| MCLAUGHLIN, BRENDAN | CHIEF COMPLIANCE OFFICER | 2562815 |
| O'DAY, JAMES CORTLAND | HEAD OF EQUITIES | 5618215 |
| SLADER, GAVIN WILLEY | HEAD OF INVESTMENT BANKING | 4130019 |
| SPURR, JEFFREY HOLMES | HEAD OF RESEARCH | 1384716 |
| SUCHY, GREGORY JOHN | CHIEF OPERATING OFFICER / PRINCIPAL OPERATIONS OFFICER | 5907019 |
| WHITEHEAD, AIDAN PETER | HEAD OF TRADING & SALES TRADING | 2474257 |
| XIAO, ZHUO VIVIAN XUAN | FINOP | 5121578 |
Disclosures
| Regulatory Event | 6 |
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.
