Gurinder S. Ahluwalia
Professional summary
Gurinder Singh Ahluwalia, who also goes by Gurinder S Ahluwalia, is a registered financial professional currently at HIGHTOWER SECURITIES, LLC located in Chicago, Illinois.
Gurinder is registered as a RR (Registered Representative) and started their career in finance in 2004. Gurinder has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, Series 99TO, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gurinder Singh Ahluwalia's CRS (Customer Relationship Summary).
Certified licenses
Experience
November 3, 2023 - Present
HIGHTOWER SECURITIES, LLC
Office #1: 200 West Madison Street Suite 2500, Chicago, IL 60606-3414April 28, 2017 - October 4, 2021
280 SECURITIES LLC
December 3, 2013 - February 3, 2014
CAPITAL BROKERAGE CORPORATION
July 30, 2008 - February 11, 2014
ASSETMARK, INC.
June 19, 2008 - November 11, 2013
CAPITAL BROKERAGE CORPORATION
May 28, 2007 - June 20, 2008
CETERA FINANCIAL SPECIALISTS LLC
April 28, 2005 - August 6, 2008
GENWORTH FINANCIAL ASSET MANAGEMENT, INC
September 10, 2004 - April 7, 2005
CETERA INVESTMENT ADVISERS LLC
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
Series 7TO
Date: 11/3/2023
General Securities Representative ExaminationSeries 6TO
Date: 11/3/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
HIGHTOWER SECURITIES, LLC
CRD#: 116681 / SEC#: , 8-53560
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HIGHTOWER HOLDING, LLC | PARENT COMPANY | |
| BESSO, DOUGLAS JOSEPH | CTO | 1530829 |
| COVIELLO, BARRY ANTHONY | EXECUTIVE DIRECTOR, NATIONAL FIELD SUPERVISION | 1813688 |
| GRAY, KENDRA | MUNICIPAL PRINCIPAL | 4388082 |
| GRAY, KENDRA | CHIEF COMPLIANCE OFFICER | 4388082 |
| KARL, MATTHEW JAMES | PRINCIPAL FINANCIAL OFFICER (PFO) & FINOP | 5361093 |
| SMITH, SCOTT DAVID | CHIEF EXECUTIVE OFFICER | 2523535 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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