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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rupal? Claim Your ProfileRupal N. Patel is a financial advisor with UBS Financial Services Inc. Rupal joined UBS Financial Services Inc. in February 2009. Before that, Rupal was with CITIGROUP GLOBAL MARKETS INC. for over three years. Rupal specializes in portfolio management for individuals and businesses, financial planning, pension consulting, educational seminars, security ratings, and selection of other advisors. Rupal is licensed to offer investment advice in California, Nevada, and Oregon.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
See schedule d - miscellaneous
1
2
CA
07/09/2024 - Present
UBS Financial Services Inc. (WALNUT CREEK CA)
CA
06/06/2005 - 03/13/2009
CITIGROUP GLOBAL MARKETS INC. (PLEASANTON CA)
BOTH
Issued 07/08/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/21/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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