John P. Gaudin

ARGENTA WEALTH MANAGEMENT

NORTH LITTLE ROCK, AR 72114

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CRD#: 1132264

Professional summary

John Perry Gaudin is a registered financial advisor currently at ARGENTA WEALTH MANAGEMENT located in North Little Rock, Arkansas.

John is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1983. John has worked at 6 firms and has passed the Series 65, Series 63, Series 3, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

Mr. Gaudin is involved in the following nonprofit entities in various capacities: ?ACANSA Arts Festival: An annual visual and performing arts festival. Mr. Gaudin serves as Board President. ?Mid-America Arts Alliance: A regional arts organization. Mr. Gaudin serves as Board President. ?Potluck & Poison Ivy: An entity founded by Mr. Gaudin that organizes live dinner and storytelling event. The above activities are non-compensated and take up less than 10% of Mr. Gaudin's professional time. Mr. Gaudin owns the following entities that he has established to hold real estate: ?John Gaudin Consulting, LLC: This entity owns the building in which Argenta is located. ?S & R Real Estate, LLC: This entity holds partial ownership in a residential property. Mr. Gaudin is also licensed as an independent insurance agent.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Perry Gaudin's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

February 4, 1998 - Present

ARGENTA WEALTH MANAGEMENT

Office #1: 301 Main Street, Suite 202, North Little Rock, AR 72114

RIA

CRD#: 110884

NORTH LITTLE ROCK, AR

Past

February 4, 1998 - April 3, 2003

ARGENTA WEALTH MANAGEMENT

RIA

CRD#: 110884

LITTLE ROCK, AR

Past

February 26, 1996 - April 1, 1998

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

February 10, 1995 - February 26, 1996

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

December 5, 1990 - August 29, 1995

FIRST AFFILIATED SECURITIES

CRD#: 23737

LA JOLLA, CA

Past

August 4, 1988 - December 11, 1990

ANGLO-AMERICAN INVESTOR SERVICES CORP.

CRD#: 14278

CHARLOTTESVILLE, VA

Past

August 20, 1984 - April 21, 1987

DELTA FINANCIAL INVESTMENT CORPORATION

CRD#: 14391

Past

June 6, 1983 - November 20, 1983

BRITTENUM & ASSOCIATES, INC.

CRD#: 7179

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

Arkansas
(2/4/1998)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/16/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/23/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 9/26/1988

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/21/1983

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 10/10/1989

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/25/1985

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/25/1984

General Securities Principal Examination

Current Firm

ARGENTA WEALTH MANAGEMENT

CRD#: 110884 / SEC#: 801-63552

RIA

Registered Investment Advisory firm - (6/29/2012 Terminated)

Arkansas

Registered Investment Advisory firm - (6/11/2012 Approved)

Louisiana

Registered Investment Advisory firm - (4/1/2022 Terminated)

Texas

Registered Investment Advisory firm - (5/12/2012 Conditional Restricted)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

413b Main Street, North Little Rock, AR 72114

Mailing Address

Phone number

(501) 225-5600

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	174
AUM (Assets Under Management)	$ 83,579,839

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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John P. Gaudin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Perry Gaudin's CRS (Customer Relationship Summary).

Certified licenses

Experience

ARGENTA WEALTH MANAGEMENT

1717 CAPITAL MANAGEMENT COMPANY

1717 CAPITAL MANAGEMENT COMPANY

FIRST AFFILIATED SECURITIES

ANGLO-AMERICAN INVESTOR SERVICES CORP.

DELTA FINANCIAL INVESTMENT CORPORATION

BRITTENUM & ASSOCIATES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 5/16/1996

Series 63

Date: 7/23/1984

Series 3

Date: 9/26/1988

Series 7

Date: 5/21/1983

Series 4

Date: 10/10/1989

Series 53

Date: 9/25/1985

Series 24

Date: 6/25/1984

Current Firm

ARGENTA WEALTH MANAGEMENT

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ARGENTA WEALTH MANAGEMENT

TRUST BUT VERIFY

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