Swati Gulati
Professional summary
Swati Gulati is a registered financial professional currently at CGS INTERNATIONAL SECURITIES USA, INC. located in New York, New York.
Swati is registered as a RR (Registered Representative) and started their career in finance in 2007. Swati has worked at 4 firms and has passed the Series 16 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Swati Gulati's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2019 - Present
CGS INTERNATIONAL SECURITIES USA, INC.
Office #1: 104 West 40th Street Suite 1810, New York, NY 10018September 11, 2013 - February 5, 2019
DEUTSCHE BANK SECURITIES INC.
June 1, 2012 - March 1, 2013
RBC CAPITAL MARKETS, LLC
October 24, 2011 - December 8, 2011
MF GLOBAL INC.
September 18, 2007 - October 5, 2011
DEUTSCHE BANK SECURITIES INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
FINRA
Current Firm
CGS INTERNATIONAL SECURITIES USA, INC.
CRD#: 141892 / SEC#: , 8-67414
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CGS INTERNATIONAL SECURITIES PTE. LTD. | STOCKHOLDER | |
| CHIN-LUK, HELEN JADE | SENIOR VP, FINOP, CCO, CEO | 2292149 |
Red Flags
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