Romin K. Patel
Professional summary
Romin Ketan Patel, who also goes by Romin Patel, is a registered financial professional currently at MACQUARIE CAPITAL (USA) INC. located in New York, New York.
Romin is registered as a RR (Registered Representative) and started their career in finance in 2024. Romin has worked at 2 firms and has passed the Series 63, Series 79TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Romin Ketan Patel's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 27, 2025 - Present
MACQUARIE CAPITAL (USA) INC.
Office #1: 660 5th Ave, New York, NY 10103May 15, 2024 - September 30, 2024
LEONIS SECURITIES, 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
(3/27/2025)
Exams
Series 79TO
Date: 2/3/2024
Investment Banking Registered Representative ExaminationFINRA
Current Firm
MACQUARIE CAPITAL (USA) INC.
CRD#: 36368 / SEC#: , 8-47198
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MACQUARIE HOLDINGS (USA) INC. | SHAREHOLDER | |
| BACHTELER, TOBIAS | CO-CHIEF EXECUTIVE OFFICER | 4945558 |
| CHAN, PAULINA M | CHIEF COMPLIANCE OFFICER | 3211559 |
| CONAHAN, JAMES S | CHIEF FINANCIAL OFFICER/FINOP | 2538695 |
| DE FREITAS, CARLOS A | CHIEF OPERATING OFFICER | 4812920 |
| FULTON, JANEEN KAY | AML OFFICER | 3066508 |
| VALENTINE, ROBERT GEOFFREY | DIRECTOR | 5633577 |
| VUOLO, JEREMY MURPHY | CO-CHIEF EXECUTIVE OFFICER | 2798378 |
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
Red Flags
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