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GG

Gregory C. Giauque

SFE INVESTMENT COUNSEL
San Luis Obispo, CA
Some features on this profile are disabled
CRD#: 2988413
GG

Professional summary

Gregory Cannon Giauque, who also goes by Gregory Cannon Giaugue, Gregory Knight, is a registered financial advisor currently at SFE INVESTMENT COUNSEL INC. located in San Luis Obispo, California.

Gregory is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Gregory has worked at 5 firms and has passed the Series 65, Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gregory Cannon Giaugue | Gregory Knight

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) - RIA

Click below to view Gregory Cannon Giauque's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 31, 2023 - Present

SFE INVESTMENT COUNSEL INC.

RIA
CRD#: 145530
San Luis Obispo, CA
Past

December 16, 2008 - June 3, 2013

THE CAPROCK GROUP, LLC

RIA
CRD#: 124272
BOISE, ID
Past

June 12, 2007 - January 22, 2008

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

BD
CRD#: 40178
DENVER, CO
Past

October 14, 2003 - June 30, 2005

STERN FISHER EDWARDS INC

RIA
CRD#: 7548
LOS ANGELES, CA
Past

November 17, 1998 - June 30, 2005

STERN FISHER EDWARDS INC

BD
CRD#: 7548
LOS ANGELES, CA
Past

January 29, 1998 - October 19, 1998

PRUDENTIAL EQUITY GROUP, LLC

BD
CRD#: 7471
NEW YORK, NY

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".
SI
SFE INVESTMENT COUNSEL INC.
SFE INVESTMENT COUNSEL INC. | SFE INVESTMENT COUNSEL, INC.

CRD#: 145530 / SEC#: 801-68580

RIA
Registered Investment Advisory firm - (10/24/2007 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
California
(3/31/2023)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/31/2023
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 2/2/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/26/1998
General Securities Representative Examination

Current Firm

SI
SFE INVESTMENT COUNSEL INC.
SFE INVESTMENT COUNSEL INC. | SFE INVESTMENT COUNSEL, INC.

CRD#: 145530 / SEC#: 801-68580

RIA
Registered Investment Advisory firm - (10/24/2007 Approved)
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Contact information

Main Address
801 S. Figueroa Street Suite 610, Los Angeles, CA 90017
Mailing Address
Phone number
(213) 612-0220
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (11 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (7/7/2025)

Regulatory assets under management

Total Number of Accounts772
AUM (Assets Under Management)$ 581,606,303

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

SFE INVESTMENT COUNSEL INC.

CRD#: 145530San Luis Obispo, CA

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