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MP

Maulik Patel

FIRST AVENUE
London, W1C 1BQ
Some features on this profile are disabled
CRD#: 6933907
MP

Professional summary

Maulik Patel is a registered financial professional currently at FIRST AVENUE .

Maulik is registered as a RR (Registered Representative) and started their career in finance in 2018. Maulik has worked at 3 firms and has passed the Series 63, SIE and Series 7 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) - BD

Click below to view Maulik Patel's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 2, 2024 - Present

FIRST AVENUE

Office #1: Swan House 3rd Floor 17-19 Stratford Place, London, W1C 1BQ
BD
CRD#: 145860
London,
Past

September 29, 2020 - March 5, 2024

TRADITION SECURITIES AND DERIVATIVES LLC

BD
CRD#: 28269
New York, NY
Past

September 5, 2018 - September 18, 2020

KROLL SECURITIES LLC

BD
CRD#: 36927
CHICAGO, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
California
(7/2/2024)
RR
Florida
(7/2/2024)
RR
Illinois
(7/2/2024)
RR
Missouri
(7/2/2024)
RR
New Jersey
(7/2/2024)
RR
New York
(7/2/2024)
RR
Ohio
(7/2/2024)
RR
Texas
(7/2/2024)
RR
Wisconsin
(7/2/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 3/25/2022
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 7
Date: 9/5/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

FA
FIRST AVENUE
FAP USA, L.P. | FIRST AVENUE

CRD#: 145860 / SEC#: , 8-67758

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

Main Address
461 Fifth Avenue 14th Floor, New York, NY 10017
Mailing Address
461 Fifth Avenue 14th Floor, New York, NY 10017
Phone number
(646) 582-5777
Established
Delaware since 02/14/2007
Firm type
Partnership
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
FAP USA, L.L.C.LIMITED PARTNER
BUCKLEY, PAUL DEREKPARTNER, CEO1822709
FAP GEN PAR, L.L.C.GP
PLANT, LYDIA HYUNJUFINOP, CFO AND COO7390471
RYAN, KIMBERLY ANNCHIEF COMPLIANCE OFFICER4316310

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

FIRST AVENUE

CRD#: 145860London, W1C 1BQ

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