Bio

Suraj Patel heads up Tangent’s legal, operations, and compliance functions and has direct compliance supervision of Tangent’s 50+ registered representatives. Suraj has acted as CCO for numerous broker-dealers, investment advisers, and private funds – specializing in all aspects of regulatory and legal compliance for private securities and investments. As both a US and UK qualified lawyer, Suraj specializes in assisting non-US managers and investment professionals with setting up operations in the US. In addition to managing all aspects of Tangent’s broker-dealer operations, Suraj has worked with third parties on a consulting basis to start new FINRA registered broker-dealers and SEC registered investment advisers. Previously, Suraj was Chief Compliance Officer for both the broker-dealer and registered investment advisor arms of Robotti Investment Advisors, which specialized in value investing strategies in the natural resource and energy industries. Prior to joining the securities industry, Suraj worked with the National Wildlife Federation, where he conducted research on the legal, regulatory and commercial issues facing offshore wind energy development along the Atlantic Coast. Suraj received his B.A. in in Rhetoric and English Language and Literature, Summa Cum Laude, from the University of Michigan, Ann Arbor, and also received a Master of Sciences in Sociology from the London School of Economics and Political Sciences, and a Master of Laws in International Business, Magna Cum Laude, from Fordham University. Suraj is a barrister-at-law, admitted to practice in England and Wales, with degrees from City University (London) and the Inns Court School of Law (London). Check the background of this investment professional on FINRA’s BrokerCheck.