Brijesh Gulati

DV SECURITIES

Chicago, IL 60605

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CRD#: 4971512

Professional summary

Brijesh Gulati is a registered financial professional currently at DV SECURITIES, LLC located in Chicago, Illinois.

Brijesh is registered as a RR (Registered Representative) and started their career in finance in 2006. Brijesh has worked at 8 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Brijesh Gulati's 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

May 6, 2024 - Present

DV SECURITIES, LLC

Office #1: 425 S. Financial Place Suite 2800, Chicago, IL 60605

CRD#: 305134

Chicago, IL

Past

May 8, 2019 - February 6, 2024

MAREX CAPITAL MARKETS INC.

CRD#: 161014

NEW YORK, NY

Past

September 24, 2014 - May 7, 2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 12, 2013 - September 3, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

June 25, 2012 - May 3, 2013

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

November 1, 2010 - June 26, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

December 16, 2009 - November 1, 2010

BANC OF AMERICA SECURITIES LLC

CRD#: 26091

NEW YORK, NY

Past

December 4, 2008 - September 4, 2009

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

Past

September 22, 2008 - November 5, 2008

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

August 30, 2006 - September 22, 2008

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

Series 63

Date: 9/9/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 9/29/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/29/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/12/2022

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

DV SECURITIES, LLC

CRD#: 305134 / SEC#: , 8-70393

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

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Contact information

Main Address

425 S. Financial Place Suite 2800, Chicago, IL 60605

Mailing Address

425 S. Financial Place Suite 2800, Chicago, IL 60605

Phone number

(312) 837-0649

Established

Delaware since 05/26/2016

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
DV GROUP, LLC	MEMBER
CARLINO, ERIC JAMES	TRADING PRINCIPAL - CEO	2898311
HORGAN, RICHARD JOHN	CHIEF FINANCIAL OFFICER	6697860
KATZ, SHIFRA	CHIEF COMPLIANCE OFFICER

Red Flags

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

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Brijesh Gulati

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

MAREX CAPITAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

J.P. MORGAN SECURITIES LLC

BARCLAYS CAPITAL INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA SECURITIES LLC

UBS SECURITIES LLC

BARCLAYS CAPITAL INC.

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/9/2006

SIE

Date: 10/1/2018

Series 3

Date: 9/29/2006

Series 7

Date: 8/29/2006

Series 24

Date: 12/12/2022

FINRA

Current Firm

DV SECURITIES, LLC

Contact information

FINRA licenses (5 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

DV SECURITIES, LLC

TRUST BUT VERIFY

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