Gaurav S. Bath
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.
Gaurav Singh Bath, who also goes by Guri Bath, was a registered financial professional .
Gaurav is a previously registered financial professional and started their career in finance in 2005. Gaurav had worked at 6 firms and has passed the Series 63, Series 79TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 22, 2024 - October 21, 2025
PALMER CAPITAL ADVISORS, LLC
December 22, 2022 - January 2, 2024
TD SECURITIES (USA) LLC
March 14, 2019 - September 23, 2022
TRUIST SECURITIES, INC.
July 12, 2010 - February 6, 2019
CITIGROUP GLOBAL MARKETS INC.
May 2, 2006 - June 1, 2010
DEUTSCHE BANK SECURITIES INC.
August 30, 2005 - April 24, 2006
WELLS FARGO SECURITIES, 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 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
PALMER CAPITAL ADVISORS, LLC
CRD#: 285420 / SEC#: , 8-69847
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PALMER CAPITAL HOLDINGS, LLC | MANAGING MEMBER | |
| SIPINICK, KATHY EFREM | CEO/CCO/FINOP | 3248100 |
Disclosures
| Regulatory Event | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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