Akshai J. Patel
Professional summary
Akshai Jotikumar Patel, who also goes by Akshai J Patel, is a registered financial professional currently at HERBERT J. SIMS & CO, INC. located in Rockville, Maryland.
Akshai is registered as a RR (Registered Representative) and started their career in finance in 2019. Akshai has worked at 2 firms and has passed the Series 63, Series 52TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Akshai Jotikumar Patel's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 21, 2024 - Present
HERBERT J. SIMS & CO, INC.
Office #1: 11140 Rockville Pike Suite 630, Rockville, MD 20852April 9, 2019 - April 3, 2024
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
(3/21/2024)
Exams
Series 52TO
Date: 4/8/2019
Municipal Securities Representative ExaminationFINRA
Current Firm
HERBERT J. SIMS & CO, INC.
CRD#: 3420 / SEC#: , 8-3315
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TEKSYS CORPORATION | OWNER | |
| DIAMOND, JASON HOWARD | CHIEF FINANCIAL OFFICER/MANAGING PRINCIPAL | 2320884 |
| RULNICK, AARON M | DIRECTOR | 3149315 |
| HEBERT, VALERIE | CHIEF COMPLIANCE OFFICER | 4007252 |
| MULLANE, DANIEL JOSEPH | MANAGING PRINCIPAL | 1246435 |
| SANDS, R JEFFREY | DIRECTOR | 4285040 |
| SIMS, WILLIAM BARNETT | PRESIDENT/CEO | 425019 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
Red Flags
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