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Sonny Hamesh Gulati

Ubs Financial Services Inc.

Palo Alto, CA

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Current Employers
Ubs Financial Services Inc.

1200 Harbor Boulevard, Weehawken, NJ 07086 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2015-01-27
CA RA APPROVED 2002-06-20
  • TX RA
    APPROVED_RES
    Since 2015-01-27
  • CA RA
    APPROVED
    Since 2002-06-20

Branch Locations

305 Lytton Avenue, Palo Alto, CA 94301 • 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
Ubs Financial Services Inc Palo Alto CA 01/2009 Present
Previous Registrations
  • 1997-07-08 → 2002-06-21
    Morgan Stanley & Co. Llc
    San Francisco, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-03-19
S63 Uniform Securities Agent State Law Examination 1992-11-02
  • S65 Uniform Investment Adviser Law Examination
    1993-03-19
  • S63 Uniform Securities Agent State Law Examination
    1992-11-02
Other Names
  • Hamesh Gulati

View on SEC IAPD

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