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Rachel Patel

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Greenwich, CT

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2022-08-29
CT RA APPROVED 2022-08-26
  • TX RA
    APPROVED
    Since 2022-08-29
  • CT RA
    APPROVED
    Since 2022-08-26

Branch Locations

2 Pickwick Plz, Greenwich, CT 06830 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Charles Schwab & Co., Inc. Westlake TX 06/2019 04/2022
Cornucopia Wealth Management Tallahassee FL 12/2017 04/2019
La Fiesta Restaurant Tallahassee FL 10/2016 12/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated Stamford CT 03/2022 Present
  • 06/2019 → 04/2022
    Charles Schwab & Co., Inc.
    Westlake, TX
  • 12/2017 → 04/2019
    Cornucopia Wealth Management
    Tallahassee, FL
  • 10/2016 → 12/2017
    La Fiesta Restaurant
    Tallahassee, FL
  • 03/2022 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Stamford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-08-05
S63 Uniform Securities Agent State Law Examination 2021-06-08
  • S65 Uniform Investment Adviser Law Examination
    2022-08-05
  • S63 Uniform Securities Agent State Law Examination
    2021-06-08
Other Names
  • Rachel Asit Patel

View on SEC IAPD

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