Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Amit? Claim Your ProfileAmit Patel is a financial advisor with Principal Securities, Inc. Amit has over 15 years of experience in the financial services industry. Amit is a registered investment advisor and is licensed to sell securities in several states. Amit has a Series 7, Series 6, Series 31, Series 63 and Series 65 license. Amit is also a licensed life insurance agent. Amit has a passion for helping clients reach their financial goals. Amit specializes in providing financial planning, investment management, and retirement planning services to individuals, families, and businesses. Amit's previous employers include Morgan Stanley and Wells Fargo Advisors, LLC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
CA
03/13/2024 - Present
Principal Securities, Inc. (SAN JOSE CA)
CA
11/22/2010 - 05/02/2018
MORGAN STANLEY (PALO ALTO CA)
CA
02/15/2008 - 10/05/2010
WELLS FARGO ADVISORS, LLC (SAN JOSE CA)
IA
Issued 12/17/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/27/2008
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 11/19/2010
Series 7 - General Securities Representative Examination
BC
Issued 02/14/2008
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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