Shruti V. Gongle
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.
Shruti Vijaykumar Gongle, who also goes by Shruti Gongle, was a registered financial professional .
Shruti is a previously registered financial professional and started their career in finance in 2019. Shruti had worked at 1 firm and has passed the Series 99TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2019 - January 3, 2022
UBS ASSET MANAGEMENT (US) INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 99TO
Date: 6/21/2019
Operations Professional ExaminationCurrent Firm
UBS ASSET MANAGEMENT (US) INC.
CRD#: 583 / SEC#: , 8-21901
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 10 |
Red Flags
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