Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sunny? Claim Your ProfileSunny Kishor Patel is a financial advisor with UBS Financial Services Inc., located in Los Angeles, California. Sunny Kishor Patel has been a registered representative for over 10 years and has held various positions at different financial firms. Sunny Kishor Patel specializes in providing a wide range of financial services, including portfolio management for individuals and businesses, financial planning, and pension consulting. Sunny Kishor Patel also offers educational seminars and publishes periodicals. Sunny Kishor Patel is registered with the state of California and Texas as both a Broker-Dealer and Investment Advisor Representative.
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
07/17/2024 - Present
UBS Financial Services Inc. (Los Angeles CA)
TX
05/30/2017 - 07/23/2024
MORGAN STANLEY (Dallas TX)
TX
04/11/2016 - 05/11/2017
WFG INVESTMENTS, INC. (DALLAS TX)
TX
09/17/2013 - 04/06/2016
USAA FINANCIAL ADVISORS, INC. (SAN ANTONIO TX)
IA
Issued 07/29/2014
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/15/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/23/2016
Series 4 - Registered Options Principal Examination
BC
Issued 08/03/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/27/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/14/2016
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/27/2017
Series 3 - National Commodity Futures Examination
BC
Issued 09/17/2013
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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