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Detailed Report
Tanuja Gourish Katre
TANUJA MADHUKAR GULWADI, TANUJA GULWADI, TANUJA KATRE
CRD#: 6815876
IA
Investment Adviser
B
Broker
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDCRD#: 7691 2 PICKWICK PLZ
GREENWICH, CT 06830
Registration History
20172018201920202021202220232024202520262 FIRMS2017 - 2021 (4 years)2 FIRMS2021 - Present (3 years)
License(s)

State Registrations

B
Arizona 10/13/2021
B
New Jersey 10/13/2021
B
California 10/13/2021
B
New York 10/13/2021
B
Colorado 10/13/2021
B
North Carolina 10/13/2021
B
Connecticut 10/12/2021
B
Ohio 9/30/2022
IA
Connecticut 10/12/2021
B
Oregon 2/9/2023
B
Delaware 6/18/2024
B
Pennsylvania 10/13/2021
B
District of Columbia 10/13/2021
B
Rhode Island 9/30/2022
B
Florida 10/13/2021
B
South Carolina 10/13/2021
B
Georgia 9/20/2022
B
Tennessee 10/13/2021
B
Illinois 9/20/2022
B
Texas 9/30/2022
B
Indiana 10/13/2021
IA
Texas 10/3/2022
B
Maine 9/20/2022
B
Utah 3/3/2025
B
Maryland 10/13/2021
B
Vermont 8/31/2022
B
Massachusetts 10/13/2021
B
Virgin Islands 2/9/2023
B
Michigan 7/1/2024
B
Virginia 10/13/2021
B
Mississippi 2/9/2023
B
Washington 9/20/2022
B
Nevada 11/15/2024

SRO Registrations

B
 Cboe BYX Exchange, Inc.
B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2 PICKWICK PLZ, GREENWICH, CT 06830
Registered with this firm since 10/12/2021
B
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691)
2 PICKWICK PLZ, GREENWICH, CT 06830
Registered with this firm since 10/12/2021
Previous Registration(s)
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IA
 10/03/2017 - 09/24/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) OLD GREENWICH, CT
B
 08/29/2017 - 09/24/2021 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) OLD GREENWICH, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.