Aarti Patel
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.
Aarti Patel, who also goes by Aarti Patel, was a registered financial professional .
Aarti is a previously registered financial professional and started their career in finance in 2022. Aarti had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 1, 2023 - July 11, 2024
ALLIANCE-ONE INVESTMENTS, LLC
June 22, 2023 - November 7, 2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
August 20, 2022 - April 5, 2023
PFS INVESTMENTS INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 7TO
Date: 10/8/2023
General Securities Representative ExaminationSeries 6TO
Date: 8/20/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
ALLIANCE-ONE INVESTMENTS, LLC
CRD#: 286025 / SEC#: , 8-69868
Contact information
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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