Anil Gulati

OSAIC WEALTH

Santa Clara, CA 95054

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CRD#: 1137733

Professional summary

Anil Gulati is a registered financial advisor currently at OSAIC WEALTH, INC. located in Santa Clara, California.

Anil is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Anil has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. INDIAN CHAMBER OF COMMERCE POSITION: director NATURE: non profit 501C organization INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2015 ADDRESS: 2090 Addison Street, Berkeley CA 94704, United States DESCRIPTION: attend business meetings 1 to 2 in a year 2. SPAR RENTAL HOME POSITION: Owner/Manager NATURE: Sole proprietorship. Renting the hose to the tenants. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2021 ADDRESS: 338 Spar Avenue, San Jose CA 95117, United States DESCRIPTION: Accounting , paperwork, paying taxes and mortgage pmt and managing the property 3. ANIL GULATI POSITION: Owner/manager NATURE: Sole proprietorship. Renting a condo to a tenant INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2015 ADDRESS: 38 N almaden blvd, #1703, San Jose CA 95110, United States DESCRIPTION: Accounting , paperwork, paying taxes and mortgage pmt and managing the property 4. GULATI FINANCIAL & INSURANCE SERVICES POSITION: I am a Financial Advisor who provides fixed insurance options to my clients. Also, I have a 1% indirect ownership interest in Funding Services LLC, which is a subsidiary to First Financial Resources. NATURE: Doing exactly the same fixed Life Insurance Business with Pacific Life, John Hancock, Allianz, Penn Mutual, Ameritas, etc. except that the majority of business is going through FFR--First Financial Resources INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 30 START DATE: 06/03/2019 ADDRESS: 2350 Mission College Blvd Ste, suite 1160, Santa Clara CA 95054, United States DESCRIPTION: Providing Fixed Insurance solutions to clients like WL and IUL

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anil Gulati's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Anil Gulati's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2350 Mission College Blvd Ste 1160, Santa Clara, CA 95054

RIA

CRD#: 23131

Santa Clara, CA

Current

January 19, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 2350 Mission College Blvd Ste 1160, Santa Clara, CA 95054

RIA

CRD#: 23131

Santa Clara, CA

Past

October 27, 2009 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

SANTA CLARA, CA

Past

June 29, 2009 - January 19, 2024

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

SANTA CLARA, CA

Past

June 1, 2005 - July 8, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SANTA CLARA, CA

Past

June 1, 2005 - July 8, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

SANTA CLARA, CA

Past

February 23, 2004 - June 1, 2005

MONY SECURITIES CORPORATION

RIA

CRD#: 4386

SANTA CLARA, CA

Past

June 29, 1983 - June 1, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(1/19/2024)

IAR

California
(1/19/2024)

Florida
(10/25/2024)

IAR

Florida
(10/25/2024)

Illinois
(1/19/2024)

Kansas
(1/19/2024)

Maryland
(1/19/2024)

Missouri
(1/19/2024)

Nevada
(1/19/2024)

IAR

Nevada
(1/19/2024)

New Jersey
(1/19/2024)

North Carolina
(1/19/2024)

Texas
(1/19/2024)

Washington
(1/19/2024)

Wisconsin
(1/19/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/1/2004

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/25/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 6/28/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

OSAIC WEALTH, INC.

CRD#: 23131 / SEC#: 801-54859, 8-40218

RIA

Registered Investment Advisory firm - SEC (9/10/1997 Approved)

Broker-Dealer Firm Regulated by FINRA (Denver district office)

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Contact information

Main Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Mailing Address

18700 N. Hayden Road Suite 255, Scottsdale, AZ 85255

Phone number

(800) 821-5100

Established

Delaware since 08/05/1988

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

8,717

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

OSAIC WEALTH, INC ADV PART 2A (10/20/2025)

SIGNATOR MANAGED ACCOUNT PLATFORM (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
OSAIC, INC.	SHAREHOLDER
CORNICK, GREGORY ALLEN	CEO, PRESIDENT, DIRECTOR	3132991
FORD, ERINN JUNE	DIRECTOR	2176816
MIHAL, SHAWN MICHAEL	SVP, CHIEF COMPLIANCE OFFICER	3262384
MITCHELL, CHRISTOPHER MILLS	CORPORATE TREASURER, FINANCIAL PRINCIPAL	2420144
PRICE, JAMES DALE	CHAIRMAN	1243224
SCHLUETER, MATTHEW ADAM	EVP, OPERATIONS AND TECHNOLOGY SOLUTIONS, DIRECTOR	2627931

Regulatory assets under management

Total Number of Accounts	797,559
AUM (Assets Under Management)	$ 200,266,275,275

Disclosures

Regulatory Event	50
Arbitration	31
Bond	7

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/14/2025	Cover Page	Report
12/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Anil Gulati

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anil Gulati's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Anil Gulati's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

MONY SECURITIES CORPORATION

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

OSAIC WEALTH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 4/23/1984

SIE

Date: 10/1/2018

Series 7

Date: 6/1/2004

Series 22

Date: 1/25/1985

Series 6

Date: 6/28/1983

FINRA

Current Firm

OSAIC WEALTH, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

OSAIC WEALTH, INC.

TRUST BUT VERIFY

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