| Advisor Profile |
|
 |
| Research This Advisor |
|
|
| Request More Information |
|
|
|
|
|
|
Business Description |
| To help individuals and families create, protect, and grow wealth and develop your personal financial vision. |
|
| |
|
|
General Information |
|
|
|
|
| Insurance License#: |
OC93097
|
|
| Name of Broker/Dealer: |
National Securities
|
|
| Name of Custodial Firm: |
National Securities
|
|
| States Licensed in: |
CA AZ AR CO IL IA MA NC OH SC NY FL
|
|
| States Willing to do Business in: |
NV
|
|
| Years of Experience in Financial Services: |
20
|
|
| Number of Years with Current Firm: |
2
|
|
| Work Experience: |
Wells Fargo - Merrill Lynch - Edward Jones - AIG
|
|
| I work with the following types of clients: |
Non-Profit Organizations, Businesses, Investment Clubs, Individual Investors
|
|
| |
|
Education |
| Academic Background |
| |
As a Financial Advisor, and a Registered Representative with AIG Financial Advisors, Inc, I hold the Series 6, 7, 63 and 65 securities registrations and am registered to conduct business in California. In addition, I hold a California Life Insurance license and Long Term Care certification. I have completed the Personal Financial Planning Certificate Program at the University of California-Los Angeles and am a candidate for the Certified Financial Planner designation.
Partner: Craig M. Gougis
Pepperdine University - BS Business
University of Southern California - MBA Finance |
|
| |
|
Services |
| Investment Types: |
Commodities, Insurance, Mutual Funds, Options & Futures, Annuities, Alternative Investments, Stocks, Bonds, Exchange Traded Funds (ETFs)
|
|
| |
|
Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
Insurance License (Life & Health; Long Term Care; Specify below), Personal Financial Specialist (PFS)
|
|
| Securities Licenses: |
Series 7, Series 24, Series 53, Series 63, Series 65, Series 66, Series 6, 3
|
|
| Insurance and Annuity Licenses: |
Variable Annuity, Long Term Care, Variable Life, Annuity, Life
|
|
| Financial Organization Memberships: |
ALPFA
|
|
| Non-Financial Organization Memberships: |
Habitat for Humanity
|
|
| |
|
Firm Information |
| Number of Advisors in Office: |
10 - 99 employees
|
|
| I work with clients as part of a team: |
Yes
|
|
| Firm's Number of Clients: |
500
|
|
| Firm's Number of Planning Clients: |
200
|
|
| Firm's Number of Managed Clients: |
400
|
|
| Assets Managed by Firm: |
$100,000,000
|
|
| Advisor's Number of Clients: |
60
|
|
| Advisor's Number of Managed Clients: |
10
|
|
| Advisor's Number of Planning Clients: |
40
|
|
| Assets Managed by Advisor: |
$15,000,000
|
|
| |
|
Compliance |
| Registered Investment Advisor: |
Yes
|
|
| Registered Representative: |
Yes
|
|
| Investment Advisor Representative: |
Yes
|
|
| Compliance Disclosures in Last 5 years: |
I have a clean record
|
|
| Criminal Disclosures in Last 5 years: |
I have a clean record
|
|
| |
|
Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
|
|
| Minimum Portfolio Size for New Managed Accounts: |
$50,000
|
|
| Compensation Methods: |
Based on Assets, Hourly, Flat Fee, Commissions
|
|
| Fee % Based on Assets: |
1.75
|
|
|
|
|
|
| Additional Details on Charges: |
Details provided upon request.
|
|
| Minimum Fee Charged for Hourly Planning Accounts: |
$500
|
|
| Minimum Fee Charged for Flat Fee Accounts: |
$500
|
|
| |
|
| |
| |
| Prepared By: |
Robert Nevarez |
|
|
