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Sumit Gulati

Planguide Financial

Southlake, TX

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Current Employers
Planguide Financial

180 State Street, Suite 225, Southlake, TX 76092 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2023-12-13
  • TX RA
    APPROVED
    Since 2023-12-13

Branch Locations

180 State Street, Suite 225, Southlake, TX 76092 • 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
OrganizationCityStateFromTo
Tiaa Dallas TX 11/2020 10/2023
Planguide Financial Southlake TX 10/2023 Present
Tiaa Dallas TX 01/2017 10/2020
Tiaa Dallas TX 05/2014 12/2016
  • 11/2020 → 10/2023
    Tiaa
    Dallas, TX
  • 10/2023 → Present
    Planguide Financial
    Southlake, TX
  • 01/2017 → 10/2020
    Tiaa
    Dallas, TX
  • 05/2014 → 12/2016
    Tiaa
    Dallas, TX
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2023-10-16
S63 Uniform Securities Agent State Law Examination 2012-05-15
  • S66 Uniform Combined State Law Examination
    2023-10-16
  • S63 Uniform Securities Agent State Law Examination
    2012-05-15

View on SEC IAPD

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Other Investors

MERRY LYN BAGWELL
Brian Howard
SzeSze Fertitta
JOHN SCOTT WICKE
OWEN FRED GARTRELL
RAEANN MARIE SARSFIELD
Qlirim Dauti
HOUSTON L RICHARDS

Other Offices

RAYMOND JAMES & ASSOCIATES, INC. · Southlake, TX
DOUBLE EAGLE CAPITAL MANAGEMENT LP · SOUTHLAKE, TX
RIDGEWOOD WEALTH MANAGEMENT LLC · SOUTHLAKE, TX
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · SOUTHLAKE, TX
PROPHET EQUITY MANAGEMENT LLC · SOUTHLAKE, TX
PROPHET EQUITY MANAGEMENT II LLC · SOUTHLAKE, TX
TABERNACLE EQUITY MANAGEMENT LLC · SOUTHLAKE, TX
GENEOS WEALTH MANAGEMENT, INC. · SOUTHLAKE, TX

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