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JG

James C. Gaul

Some features on this profile are disabled
CRD#: 218833
JG

Professional summary

James Carl Gaul was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

James Carl Gaul was a registered financial advisor .

James is a previously registered financial advisor and started their career in finance in 1973. James had worked at 12 firms and has passed the Series 63, Series 1 and Series 24 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.
The advisor shows no other business activity.

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

June 10, 2011 - September 14, 2011

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
CHERRY HILL, NJ
Past

March 15, 2011 - May 17, 2011

HARRISON DOUGLAS, INC.

BD
CRD#: 16515
PLEASANTVILLE, NY
Past

January 4, 2008 - December 31, 2011

FINANCIAL PLANNING ASSOCIATES,INC.

RIA
CRD#: 112357
PLEASANTVILLE, NY
Past

November 19, 2004 - December 11, 2006

JAMES C. GAUL & ASSOCIATES

RIA
CRD#: 113871
CHERRY HILL, NJ
Past

August 13, 2004 - February 24, 2011

ALTERNATIVE WEALTH STRATEGIES, INC.

BD
CRD#: 130933
CHERRY HILL, NJ
Past

April 1, 1999 - August 27, 2004

STUART STONE & CO., LLC

BD
CRD#: 18190
FLORHAM PARK, NJ
Past

December 4, 1995 - February 17, 1999

STRATEGIC ASSETS INC.

BD
CRD#: 37590
MELVILLE, NY
Past

September 6, 1988 - January 23, 1996

G - W BROKERAGE GROUP, INC.

BD
CRD#: 22691
BEVERLY, NJ
Past

December 23, 1987 - September 27, 1988

INVESTMENT BROKERS OF AMERICA

BD
CRD#: 14607
Past

November 1, 1973 - December 24, 1986

AMERICAN EXPRESS FINANCIAL CORPORATION

BD
CRD#: 6320
Past

November 1, 1973 - January 9, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Past

November 1, 1973 - December 4, 1990

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321

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: 11/21/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 1
Date: 10/27/1973
Registered Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/3/1988
General Securities Principal Examination

Current Firm

NC
NEWPORT COAST SECURITIES, INC.
GRANT BETTINGEN, INC. | NEWPORT COAST SECURITIES, INC. | NEWPORT COAST SECURITIES | NEWPORT COAST ASSET MANAGEMENT

CRD#: 16944 / SEC#: 801-67802, 8-34790

BD
Terminated by SEC on 10/02/2016
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Contact information

Main Address
1720 Garry Ave. #108, Santa Ana, CA 92705
Mailing Address
Phone number
Established
California since 03/06/1985
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

PART 2A (3/18/2016)

Direct owners and executive officers

NamePositionCRD#
RUBICON FINANCIAL INCORPORATEDOWNER
KESSLER, KRISTOPHER CHARLESCOO4543640
LEE, KEVIN CHONGCHIEF COMPLIANCE OFFICER3143283
ONESTO, RICHARD ERNESTFINOP/CFO2453096
ONESTO, RICHARD ERNESTCEO2453096

Disclosures

Regulatory Event12
Arbitration7

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

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

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