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Nitin Gulati

SUMMIT SECURITIES GROUP LLC
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 5773796
NG

Professional summary

Nitin Gulati is a registered financial professional currently at SUMMIT SECURITIES GROUP LLC located in Chicago, Illinois.

Nitin is registered as a RR (Registered Representative) and started their career in finance in 2011. Nitin has worked at 2 firms and has passed the Series 57TO, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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 Nitin 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

July 19, 2013 - Present

SUMMIT SECURITIES GROUP LLC

Office #1: 200 South Wacker , Chicago, IL 60606
BD
CRD#: 159283
Chicago, IL
Past

April 28, 2011 - June 13, 2013

HRT EXECUTION SERVICES LLC

BD
CRD#: 128491
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

General Industry/Product Exam
RR
Series 57TO
Date: 1/2/2023
Securities Trader Exam
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/27/2011
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/10/2017
General Securities Principal Examination
SRO Registrations
RR
Cboe BYX Exchange, Inc.
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
Cboe C2 Exchange, Inc.
SRO Registrations
RR
Cboe EDGA Exchange, Inc.
SRO Registrations
RR
Cboe EDGX Exchange, Inc.
SRO Registrations
RR
Cboe Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
Investors' Exchange LLC
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange

Current Firm

SS
SUMMIT SECURITIES GROUP LLC
CLEAR STREET MARKETS LLC | WHITE BAY PT LLC | SUMMIT SECURITIES GROUP, LLC | SUMMIT SECURITIES GROUP LLC | CLEAR STREET MARKETS, LLC

CRD#: 159283 / SEC#: , 8-68977

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
55 Broadway Suite 2102, New York, NY 10006
Mailing Address
55 Broadway Suite 2102, New York, NY 10006
Phone number
(646) 532-6435
Established
Delaware since 09/02/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
SUMMIT SECURITIES MANAGEMENT LLCSOLE MEMBER
DEMARTINO, FRANK PHILIPCCO1403655
GULKOWITZ, ELLIOTCEO/POO5552025
LAU, HOLAM HOLLYCOO6574459
NIMCHINSKY, AKIVA MEIRFINOP/CFO/PFO5219594

Disclosures

Regulatory Event10

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.

Company Information

SUMMIT SECURITIES GROUP LLC

CRD#: 159283Chicago, IL 60606

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