Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Samir? Claim Your ProfileSamir Popatlal Patel is a financial professional with over two decades of experience in the industry. Samir is currently registered with Nomura Securities International, Inc. and has been a registered representative since 2009. Previously, Samir held positions at BANC OF AMERICA SECURITIES LLC and Lehman Brothers Inc. Samir holds several licenses and certifications, including Series 3, 4, 7, 10, 24, 57TO, 63 and 99TO. Samir is licensed to conduct business in all 50 states, the District of Columbia and Puerto Rico.
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.
Research-related services
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.
Negotiated fees for research-related services
1
2
NY
03/16/2009 - Present
Nomura Securities International, Inc. (NEW YORK NY)
NY
05/27/2003 - 03/17/2009
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
12/14/2001 - 06/04/2003
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
10/07/1998 - 03/13/2000
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 09/19/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/10/2014
Series 4 - Registered Options Principal Examination
BC
Issued 10/22/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 11/21/2019
Series 3 - National Commodity Futures Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/02/1998
Series 7 - General Securities Representative Examination
Active
Inactive
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
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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