Kunal Syngal
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kunal Syngal, who also goes by Bob Syngal, Bobby Syngal, Kunal Bob Syngal, was a registered financial professional .
Kunal is a previously registered financial professional and started their career in finance in 1994. Kunal had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2022 - October 6, 2022
COMERICA SECURITIES
February 3, 2022 - October 6, 2022
COMERICA SECURITIES
July 26, 2021 - November 10, 2021
T3 TRADING GROUP, LLC
October 8, 2020 - December 7, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 7, 2020 - December 7, 2020
AMERIPRISE FINANCIAL SERVICES, LLC
October 21, 2016 - May 8, 2020
OPPENHEIMER & CO. INC.
October 21, 2016 - May 8, 2020
OPPENHEIMER & CO. INC.
November 25, 2003 - October 19, 2016
UBS FINANCIAL SERVICES INC.
November 25, 2003 - October 19, 2016
UBS FINANCIAL SERVICES INC.
March 31, 2003 - December 11, 2003
CITIGROUP GLOBAL MARKETS INC.
December 13, 2002 - December 11, 2003
CITIGROUP GLOBAL MARKETS INC.
April 7, 2000 - December 20, 2002
UBS FINANCIAL SERVICES INC.
April 7, 2000 - December 20, 2002
UBS FINANCIAL SERVICES INC.
July 19, 1995 - April 10, 2000
PRUDENTIAL EQUITY GROUP, LLC
May 17, 1994 - April 25, 1995
UBS FINANCIAL SERVICES INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
COMERICA SECURITIES
CRD#: 17079 / SEC#: 801-64897, 8-35001
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| COMERICA INVESTMENT SERVICES, INC. | SHAREHOLDER | |
| AMOS, NICHOLAS CHARLES | DIRECTOR | 2013807 |
| MAIER, JOHN BONIFACE | DIRECTOR | 1812378 |
| MURDOCK, WILLIAM B | CEO/PRESIDENT/CHAIRMAN | 5777100 |
| SCHELL, RICHARD EDWARD | DIRECTOR/ SENIOR VICE PRESIDENT/ CCO | 1543415 |
| THAIRANI, POOJA | DIRECTOR/PRINCIPAL FINANCIAL OFFICER/PRINCIPAL OPERATIONS OFFICER | 7869698 |
Regulatory assets under management
| Total Number of Accounts | 4,527 |
| AUM (Assets Under Management) | $ 2,385,128,214 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/11/2023 |
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.
