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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Falguni? Claim Your ProfileFalguni M. Patel is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. She is based in Ontario, CA. Falguni has been in the financial industry since 2000. Falguni is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 4, 7, 24, and 63 licenses. She is also licensed in 41 states and the District of Columbia as an Investment Advisor Representative. She provides financial advice to individuals, businesses, corporations, trusts, estates, charitable organizations, pension and profit-sharing plans, and insurance companies. Her areas of expertise include investment management, financial planning, retirement planning, and estate planning. Falguni also offers other services such as performance measurement reports, allocation modeling, IPS, research reports and services. She is committed to providing her clients with personalized financial advice and guidance to help them achieve their financial goals.
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.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CA
06/18/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ONTARIO CA)
NY
08/27/2004 - 03/08/2005
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
04/27/2001 - 08/23/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NE
09/07/2000 - 04/02/2001
DATEK ONLINE BROKERAGE SERVICES LLC (OMAHA NE)
IA
Issued 06/25/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/26/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/08/2001
Series 4 - Registered Options Principal Examination
BC
Issued 10/31/2000
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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