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Kalpesh Hasmukh Patel

Charles Schwab & CO., Inc.

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About Kalpesh Hasmukh Patel

Kalpesh Patel is a financial advisor with over 17 years of experience in the financial services industry. Kalpesh is currently registered with Charles Schwab & Co., Inc. and is a Certified Financial Planner and Chartered Financial Analyst. Kalpesh has previously worked with several other firms including Northwestern Mutual Investment Services, LLC, Morgan Stanley, Barclays Capital Inc., J.P. Morgan Securities LLC, Jefferies & Company, Inc., Bear, Stearns & Co. Inc., Lazard Freres & Co. LLC, Deutsche Bank Securities Inc., and Sanford C. Bernstein & Co., LLC. Kalpesh holds Series 7, 63, 66, 87, and SIE licenses. Kalpesh specializes in providing financial planning services, and is a wrap fee program sponsor and financial planning advisor referral program provider.

Firm Information

Kalpesh Patel is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Kalpesh Patel’s Registration & Firm History

PA

07/21/2023 - Present

Charles Schwab & CO., Inc. (Horsham PA)

PA

10/11/2022 - 07/06/2023

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (Jamison PA)

PA

07/09/2019 - 09/02/2022

CHARLES SCHWAB & CO., INC. (Horsham PA)

PA

10/05/2017 - 11/01/2018

MORGAN STANLEY (DOYLESTOWN PA)

NY

08/31/2012 - 02/10/2017

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

03/23/2012 - 07/12/2012

J.P. MORGAN SECURITIES LLC (NEW YORK NY)

NY

06/17/2008 - 08/01/2011

JEFFERIES & COMPANY, INC. (NEW YORK NY)

NY

01/01/2006 - 06/18/2008

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

07/02/2002 - 12/31/2002

LAZARD FRERES & CO. LLC (NEW YORK NY)

NY

04/12/2001 - 06/21/2002

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

12/07/2000 - 03/12/2001

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

09/15/2000 - 12/07/2000

SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 10/26/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 01/20/2006

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/28/2006

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 12/27/2005

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Kalpesh Hasmukh Patel.
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