Marshall P. Gause
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.
Marshall Paul Gause was a registered financial professional .
Marshall is a previously registered financial professional and started their career in finance in 2000. Marshall had worked at 8 firms and has passed the Series 66, Series 3, Series 55, Series 7, Series 30 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 1, 2009 - November 26, 2018
GENEVA FUND PARTNERS
June 12, 2008 - September 16, 2008
BROKERSXPRESS LLC
November 11, 2004 - March 14, 2008
GERONIMO FINANCIAL ASSET MANAGEMENT, LLC
March 1, 2004 - January 25, 2008
WEDGE SECURITIES, LLC
August 29, 2001 - July 28, 2004
GENEVA CAPITAL MANAGEMENT, LLC
May 9, 2001 - February 6, 2002
QA3 FINANCIAL CORP.
February 21, 2001 - May 2, 2001
THE INVESTMENT CENTER, INC.
November 15, 2000 - February 21, 2001
ASSIST INVESTMENT MANAGEMENT COMPANY, INC.
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 55
Date: 7/8/2004
Limited Representative-Equity Trader ExamCurrent Firm
GENEVA FUND PARTNERS
CRD#: 150781 / SEC#:
Contact information
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.
