• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
SUMIT GULATI
CRD#: 5911869
IA
Investment Adviser
B
Previous Broker
PLANGUIDE FINANCIALCRD#: 329089 DALLAS, TX
Registration History
20122014201620182020202220242026IAPLANGUIDE FINANCIAL (CRD# 329089)2023 - Present (1 year)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2012 - 2023 (11 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2011 - 2012 (1 year)
License(s)

State Registrations

IA
Texas 12/13/2023

Current Registration(s)
IA
PLANGUIDE FINANCIAL (CRD#:329089)
DALLAS, TX
Registered with this firm since 12/13/2023

Previous Registration(s)
th hidden textth hidden textNameLocation
B
06/21/2012 - 09/07/2023 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) LEWISVILLE, TX
B
05/09/2011 - 06/20/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) DALLAS, TX
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.