Anthony L. Gaus
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.
Anthony Louis Gaus, who also goes by Anthony Gaus, was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1973. Anthony had worked at 14 firms and has passed the Series 63, Series 000 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2010 - May 29, 2012
SANDGRAIN SECURITIES LLC
January 27, 2004 - February 6, 2009
STANFORD GROUP COMPANY
July 2, 2002 - December 12, 2003
STERLING FINANCIAL INVESTMENT GROUP, INC.
July 18, 2000 - June 25, 2001
TRUIST SECURITIES, INC.
March 15, 2000 - August 15, 2000
MESIROW FINANCIAL, INC.
June 28, 1999 - January 4, 2000
RYAN BECK & CO.
September 15, 1998 - July 15, 1999
EARLYBIRDCAPITAL, INC.
May 27, 1993 - August 3, 1998
MESIROW FINANCIAL, INC.
October 1, 1991 - June 3, 1993
HAMILTON INVESTMENTS, INC.
September 4, 1990 - September 3, 1991
WELLS FARGO CLEARING SERVICES, LLC
January 2, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
February 9, 1989 - January 2, 1990
GULFSTREAM FINANCIAL ASSOCIATES, INC.
March 6, 1980 - February 8, 1989
DREXEL BURNHAM LAMBERT INCORPORATED
August 1, 1973 - February 5, 1978
KUHN LOEB & CO. INCORPORATED
August 1, 1973 - January 2, 1979
KUHN, LOEB & CO. INTERNATIONAL
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 000
Date: 7/26/1973
General Securities Principal ExaminationSeries 1
Date: 7/26/1973
Registered Representative ExaminationCurrent Firm
SANDGRAIN SECURITIES LLC
CRD#: 26004 / SEC#: , 8-42262
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 1 |
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.
