Thomas B. Gau

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CRD#: 1294982

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Thomas Benson Gau, CFP®, who also goes by Tom Gau, Tommy Gau, was a registered financial professional .

Thomas is a previously registered financial professional and started their career in finance in 1984. Thomas had worked at 7 firms and has passed the Series 65, Series 63, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tom Gau | Tommy Gau

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.

1. Academy of Preferred Financial Advisors, Inc.; Keynote Instructor; 01/2014; not investment related; 2151 Professional Drive, Roseville CA 95661; 40 hours per month, 0 hours during securities trading hours; financial consulting firm that provides tax and estate planning advice, and also teaches financial, tax, and estate planning to other professionals 2. Tax and Estate Planning Specialists, Inc.; President; 04/2017; not investment related; 222 Citrus Trail, Boynton Beach FL 3343; 30 hours per month; 0 hours during securities trading hours; present workshops on income tax and estate planning subjects. 3. Thomas B. Gau, CPA, CFP; President; not investment related; 222 Citrus Trail, Boynton Beach FL 33436; 120 hours per month; 0 hours during securities trading hours; provide income tax and estate planning advice.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

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

CFP^®

Certified Financial Planner

Experience

Past

June 15, 2018 - September 6, 2022

MATERETSKY FINANCIAL GROUP

RIA

CRD#: 292353

BOYNTON BEACH, FL

Past

October 31, 2005 - March 26, 2014

OSAIC SERVICES, INC.

CRD#: 133763

ASHLAND, OR

Past

January 13, 1996 - September 7, 2006

OREGON PACIFIC FINANCIAL ADVISORS INC

RIA

CRD#: 110176

ASHLAND, OR

Past

January 24, 1991 - October 31, 2005

SUNAMERICA SECURITIES, INC.

CRD#: 20068

PHOENIX, AZ

Past

December 7, 1989 - February 12, 1991

ASSOCIATED SECURITIES CORP.

CRD#: 12969

BOSTON, MA

Past

November 19, 1989 - December 20, 1989

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 20, 1984 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MATERETSKY FINANCIAL GROUP

MATERETSKY FINANCIAL GROUP | MATERETSKY FINANCIAL GROUP, INC.

CRD#: 292353 / SEC#: 801-112829

RIA

Registered Investment Advisory firm - (4/13/2018 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 9/21/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/8/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/1984

General Securities Principal Examination

Current Firm

MATERETSKY FINANCIAL GROUP

MATERETSKY FINANCIAL GROUP | MATERETSKY FINANCIAL GROUP, INC.

CRD#: 292353 / SEC#: 801-112829

RIA

Registered Investment Advisory firm - (4/13/2018 Approved)

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Contact information

Main Address

2240 Woolbright Road Suite 354, Boynton Beach, FL 33426

Mailing Address

Phone number

(561) 735-9227

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (17 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MATERETSKY FINANCIAL GROUP, INC. WRAP FEE PROGRAM BROCHURE (7/15/2025)

MATERETSKY FORM ADV PART 2A (7/14/2025)

Regulatory assets under management

Total Number of Accounts	769
AUM (Assets Under Management)	$ 622,654,847

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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

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Firm Stability Insights

Thomas B. Gau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

OSAIC SERVICES, INC.

OREGON PACIFIC FINANCIAL ADVISORS INC

SUNAMERICA SECURITIES, INC.

ASSOCIATED SECURITIES CORP.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

Primary Firm SEC Registration

MATERETSKY FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 65

Date: 9/21/1998

Series 63

Date: 10/8/1984

Series 7

Date: 9/15/1984

Series 24

Date: 10/25/1984

Current Firm

MATERETSKY FINANCIAL GROUP

Contact information

SEC notice filing (17 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MATERETSKY FINANCIAL GROUP

TRUST BUT VERIFY

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