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Peter Gau
PETER CLARENCE GAU, Pete Gau
CRD#: 5753830
IA
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LPL ENTERPRISE, LLCCRD#: 8733 1731 TECHNOLOGY DR
SUITE 600
SAN JOSE, CA 95110
SUITE 600
SAN JOSE, CA 95110
0
Disclosures
14
Years of Experience
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State Registrations
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Arizona 11/14/2024
IA
California 11/14/2024
B
California 11/14/2024
B
Mississippi 11/14/2024
SRO Registrations
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IA
Registered with this firm since 11/14/2024
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Registered with this firm since 11/14/2024
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 01/10/2022 - 11/14/2024 | SAN JOSE, CA | |
B | 01/10/2022 - 11/14/2024 | SAN JOSE, CA | |
IA | 01/08/2018 - 12/19/2021 | ATASCADERO, CA | |
B | 08/01/2016 - 12/19/2021 | ATASCADERO, CA | |
B | 01/03/2011 - 07/06/2016 | SANTA BARBARA, CA | |
B | 05/10/2010 - 01/03/2011 | SANTA BARBARA, CA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.