Sumit Gulati
Professional summary
Sumit Gulati is a registered financial advisor currently at PLANGUIDE FINANCIAL located in Dallas, Texas.
Sumit is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Sumit has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Sumit Gulati's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 13, 2023 - Present
PLANGUIDE FINANCIAL
June 21, 2012 - September 7, 2023
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 9, 2011 - June 20, 2012
CHASE INVESTMENT SERVICES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/13/2023)
Exams
Current Firm
PLANGUIDE FINANCIAL
CRD#: 329089 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 44,500,000 |
Red Flags
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