Parin N. 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.
Parin Nilesh Patel, who also goes by Perry Patel, was a registered financial professional .
Parin is a previously registered financial professional and started their career in finance in 2023. Parin had worked at 2 firms and has passed the Series 66, Series 50, Series 7TO 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
May 15, 2023 - September 6, 2023
PTMA INVESTMENT ADVISORS
March 29, 2023 - September 6, 2023
PMA SECURITIES, LLC
Primary Firm SEC Registration
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
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 7TO
Date: 3/29/2023
General Securities Representative ExaminationCurrent Firm
PTMA INVESTMENT ADVISORS
CRD#: 301973 / SEC#: 801-115313
Contact information
SEC notice filing (15 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 504 |
| AUM (Assets Under Management) | $ 27,791,353,702 |
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.
