Gurmeet Gulati

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

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Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-08-02
CA	RA	APPROVED	2017-02-21

TX RA
APPROVED_RES

Since 2021-08-02
CA RA
APPROVED

Since 2017-02-21

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • United States

1748 Railroad Ave, Livermore, CA 94550 • United States

Dublin, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Glastonbury	CT	11/2012	Present
Bank Of America, N.A	Glastonbury	CT	12/2012	Present

11/2012 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Glastonbury, CT
12/2012 → Present

Bank Of America, N.A

Glastonbury, CT

Previous Registrations

2012-06-11 → 2012-11-08

Lpl Financial Llc

Wethersfield, CT
2010-01-05 → 2012-05-09

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Glastonbury, CT

Hartford, CT

Hartford, CT
2009-05-15 → 2009-11-17

Wells Fargo Clearing Services, Llc

Oakhurst, NJ

Milltown, NJ
2007-04-04 → 2009-04-24

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2007-04-03

S66 Uniform Combined State Law Examination

2007-04-03

Other Names

Gurmeet Gulati

View on SEC IAPD

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Other Investors

WILLIAM ERIC BLANTON

Travis L. Shirley

Michael Schanna

Rebekah A. Beekie

WILLIAM BENJAMIN SHAPIRO

Austin Mascorro

Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA

OCVC, LLC · NEWPORT BEACH, CA

MIG CAPITAL, LLC · NEWPORT BEACH, CA

RESEARCH AFFILIATES · NEWPORT BEACH, CA

PAAMCO PRISMA, LLC · NEWPORT BEACH, CA

COMPOSITION WEALTH, LLC · Newport Beach, CA

J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA

AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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