AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JG

Joseph E. Gau

Some features on this profile are disabled
CRD#: 1592116
JG

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.

Joseph Emil Gau was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 11 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
Fairport Asset Management is an Investment advisory firm. Business related. Located in Fairfield, CT. Work as a Senior Financial Advisor. Started 08/2017. Work approximately 20 hours per week mainly during trading hours. Advising clients on financial, investment and retirement matters.

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®
None

Experience

Past

August 9, 2017 - December 31, 2024

FAIRPORT CAPITAL, INC.

BD
CRD#: 15034
Fairfield, CT
Past

August 3, 2017 - December 31, 2024

FAIRPORT ASSET MANAGEMENT CORP

RIA
CRD#: 108414
FAIRFIELD, CT
Past

April 11, 2017 - July 31, 2017

KEY INVESTMENT SERVICES LLC

BD
CRD#: 136300
WESTPORT, CT
Past

June 15, 2015 - March 7, 2017

FAIRPORT ASSET MANAGEMENT CORP

RIA
CRD#: 108414
FAIRFIELD, CT
Past

March 6, 2015 - March 1, 2017

CRITO CAPITAL LLC

BD
CRD#: 161724
Westport, CT
Past

June 20, 2014 - September 4, 2014

WADDELL & REED

RIA
CRD#: 866
HAMDEN, CT
Past

June 19, 2014 - September 4, 2014

WADDELL & REED

BD
CRD#: 866
HAMDEN, CT
Past

September 12, 2013 - March 11, 2014

WRIGHT PRIVATE ASSET MANAGEMENT LLC

RIA
CRD#: 139570
MILFORD, CT
Past

September 12, 2013 - March 11, 2014

WRIGHT INVESTORS SERVICE INC

RIA
CRD#: 106302
MILFORD, CT
Past

March 12, 1998 - February 25, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
NEW YORK, NY
Past

November 5, 1997 - January 26, 1998

NATWEST SECURITIES CORPORATION

BD
CRD#: 18238
NEW YORK, NY
Past

November 30, 1993 - January 27, 1997

CREDIT AGRICOLE CHEUVREUX NORTH AMERICA, INC.

BD
CRD#: 8010
NEW YORK, NY
Past

November 18, 1986 - January 15, 1992

CITICORP FINANCIAL SERVICES,INC.

BD
CRD#: 14675

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.

Exams

State Security Law Exam
RR
Series 63
Date: 7/10/2014
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 9/12/2013
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/19/2014
General Securities Representative Examination

Current Firm

FC
FAIRPORT CAPITAL, INC.
FAIRPORT CAPITAL, INC.

CRD#: 15034 / SEC#: , 8-32162

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
9141 E. Hidden Spur Trail, Scottsdale, AZ 85255
Mailing Address
9141 E. Hidden Spur Trail, Scottsdale, AZ 85255
Phone number
(480) 247-6874
Established
Connecticut since 03/06/1984
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CONWAY, PATRICK ANTHONYPRESIDENT/CCO1258871
GISKE, BARRYVICE PRESIDENT4887571

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.

Company Information

FAIRPORT CAPITAL, INC.

CRD#: 15034

TRUST BUT VERIFY

Monitor Joseph Gau

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2025 AdvisorCheck, an AIMR Analytics company. All rights reserved.