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Prateek C Patel

Morgan Stanley & Co. LLC

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About Prateek C Patel

Prateek Patel is a financial professional who is currently registered with Morgan Stanley & Co. LLC. Prateek has been in the industry since July 2021 and has worked for both RBC CAPITAL MARKETS, LLC and Morgan Stanley & Co. LLC. Prateek has passed the Series 63, Series 99TO, Series 7TO, and SIE exams.

Firm Information

Prateek Patel is currently registered with Morgan Stanley & Co. LLC. Morgan Stanley & Co. LLC is a Limited Liability Company formed on December 3, 1969. It is registered in 53 states and has one approved SEC registration. The firm has been involved in 471 Regulatory Events, 5 Civil Events, and 54 Arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

462

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.

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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Prateek Patel’s Registration & Firm History

NY

08/31/2021 - Present

Morgan Stanley & Co. LLC (New York NY)

NJ

07/06/2021 - 08/10/2021

RBC CAPITAL MARKETS, LLC (Jersey City NJ)

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Licenses & Designations

BC

Issued 11/13/2021

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 07/06/2021

Series 7TO - General Securities Representative Examination

BC

Issued 06/04/2021

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

MIAX Sapphire

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Prateek C Patel.
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