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Sumit Gulati

Planguide Financial

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About Sumit Gulati

Sumit Gulati is an Investment Advisor Representative with PlanGuide Financial. Sumit has been in the financial services industry since 2011 and has a Series 7, Series 6, Series 63, and Series 66 license. Sumit has specialized in providing financial planning services, pension consulting, and portfolio management for businesses and individuals. Sumit previously worked at TIAA-CREF Individual & Institutional Services, LLC and Chase Investment Services Corp.

Firm Information

Sumit Gulati is currently registered with Planguide Financial. Planguide Financial is a financial advisor located in . They manage approximately $44.5 million in assets, primarily for pension and profit-sharing plans. They offer financial planning, pension consulting, and portfolio management for businesses and individuals.

$44.50M

Assets Under Management

Not reported

Total Clients

2

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Sumit Gulati’s Registration & Firm History

TX

12/13/2023 - Present

Planguide Financial (DALLAS TX)

TX

06/21/2012 - 09/07/2023

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (LEWISVILLE TX)

TX

05/09/2011 - 06/20/2012

CHASE INVESTMENT SERVICES CORP. (DALLAS TX)

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Licenses & Designations

BOTH

Issued 10/16/2023

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/15/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/05/2013

Series 7 - General Securities Representative Examination

BC

Issued 05/06/2011

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

Disclosures

There are no public disclosures for Sumit Gulati.
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