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Aman Raj Gulani

UBS Securities LLC

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About Aman Raj Gulani

Aman Gulani is a registered representative with UBS Securities LLC. Aman has been in the securities industry since April 22, 2017, and holds the Series 63, Series 7, Series 86, Series 87, and SIE licenses. Aman has been registered with UBS Securities LLC since June 14, 2022, and was previously registered with B. Riley Securities, Inc., and B. Riley & Co., LLC.

Firm Information

Aman Gulani is currently registered with UBS Securities LLC. UBS Securities LLC is a Limited Liability Company formed on June 29, 1998. The firm is registered with the SEC and in all 50 states, as well as in Puerto Rico. UBS Securities LLC has been involved in 307 regulatory events, 5 civil events, and 3 arbitrations.

Not reported

Assets Under Management

Not reported

Total Clients

507

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Aman Gulani’s Registration & Firm History

CA

06/14/2022 - Present

UBS Securities LLC (SAN FRANCISCO CA)

CA

11/30/2017 - 05/24/2022

B. RILEY SECURITIES, INC. (Los Angeles CA)

CA

04/03/2017 - 11/30/2017

B. RILEY & CO., LLC (LOS ANGELES CA)

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Licenses & Designations

BC

Issued 12/12/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/17/2017

Series 87 - Research Analyst Exam - Part II Regulations Module

BC

Issued 08/30/2017

Series 86 - Research Analyst Exam - Part I Analysis Module

BC

Issued 04/03/2017

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Aman Raj Gulani.
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