Close Menu
Free Consultation: 888-976-6111

Anil Gulati: $200K Complaint Against Woodbury Advisor

Santa Clara financial advisor Anil Gulati (CRD# 1137733) recently received an investor complaint alleging that his advice led to six-figure damages. Financial Industry Regulatory Authority records show that he is a broker and an investment advisor registered with Woodbury Financial Services. He is also a representative of Gulati Financial & Insurance Services.

Mr. Gulati’s BrokerCheck report discloses one recent investor complaint. Filed in November 2023, it alleges that as a representative of Woodbury Financial Services, he recommended an unsuitable alternative investment in a real estate product. The pending complaint alleges damages of $200,000.

Gulati Financial & Insurance Services’ website describes Mr. Gulati’s lengthy experience in the financial services industry. “Anil’s business career concentrates on the areas of wealth preservation strategies consisting of pension, retirement, insurance, investment, estate planning and asset allocation,” it states. “His clientele consists of high net-worth individuals, executives, business owners and physicians.” According to a separate page, the firm’s services include employee benefit plans, business succession, executive benefit planning, and pension implementation. “Your goals and dreams are unique to you, requiring individual attention, guidance and strategies,” the page explains. “Through a collaborative relationship, members of Gulati Financial will help you assess your dreams and aspirations, and identify and prioritize your short-and long-term goals.”

According to the Financial Industry Regulatory Authority, Anil Gulati holds 40 years of securities industry experience. Based in Santa Clara, California, he has been a broker and an investment advisor with Woodbury Financial Services since 2009, operating under the brand Gulati Financial & Insurance Services. His credentials include the passage of five securities industry qualifying exams: the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the Direct Participation Programs Representative Examination, or Series 22; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in California, Illinois, Kansas, Maryland, Missouri, Nevada, New Jersey, North Carolina, Texas, Washington, and Wisconsin. (Information current as of January 6, 2024.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

Facebook Twitter LinkedIn
Contact Us For A Free Case Evaluation
protected by reCAPTCHA Privacy - Terms
Latest Blog Posts
  • Kiran Devarapalli: Leaders Group Advisor Fired by LPL

    Littleton, Colorado financial advisor Kiran Devarapalli (CRD# 6416586) was recently fired by LPL Financial in connection with alleged rule violations....

    Read More
  • Max & Randy Birkinbine: Ausdal Advisors Face GWG Complaint

    North Oaks, Minnesota financial advisors Max Birkinbine (CRD# 6836583) and Randy Birkinbine (CRD# 2008599) have received an investor complaint alleging...

    Read More
  • Bruce Johnson: L Bond Complaint Against Portsmouth Financial Advisor

    San Francisco financial advisor Bruce Johnson (CRD# 1126862) allegedly misrepresented investments in GWG L bonds, according to an investor complaint....

    Read More
  • Cataldo Panici: $355K REIT Complaint Against Wintrust advisor

    Frankfort, Illinois financial advisor Cataldo Panici (CRD# 2112617) recently received an investor complaint alleging damages of more than $300,000. Financial...

    Read More
  • Previous
  • Next