CG
Claude J. Gubler
PERIOPE, LC
ST. GEORGE, UT 84770
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CRD#: 3089980
CG
Professional summary
Claude Jon Gubler is a registered financial advisor currently at PERIOPE, LC located in St. George, Utah.
Claude is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Claude has worked at 3 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) DELOY GUBLER ENTERPRISES, NON INVESTMENT-RELATED, 446 NORTH 500 WEST, ST. GEORGE, UT 84770, A HOLDING COMPANY SET UP FOR THE RECEIPT OF RENTAL PROPERTY INCOME, MEMBER/MANAGER, 08-15-2011, 3 HOURS MONTHLY, NO DUTIES;
2) 2JC, LLC, NON INVESTMENT-RELATED, 162 NORTH 400 EAST, BUILDING A, SUITE 201, ST. GEORGE, UT 84770, RESIDENTIAL HOME DEVELOPMENT COMPANY THAT BUILDS HOMES AND SELLS OR RENTS THEM, PARTNER, 09-08-2016, 1 HOUR MONTHLY, I PAY THE BILLS FOR THE PROPERTIES; and
3) INDEPENDENT INSURANCE AGENT, SELL LIFE, HEALTH, DIS, LTC, NON INVESTMENT-RELATED - APPROX. 2 HRS/MO (2 HRS/MO DURING SECURITIES TRADING).
4) ST. GEORGE PROFESSIONAL DEVELOPMENT, BUILDING MANAGEMENT, NON INVESTMENT- RELATED, MEMBER SINCE 1/2006, APPROX. 1 HR/MO (1 HR/MO DURING SECURITIES TRADING).
CRS (Client Relationship Summary) - RIA
Click below to view Claude Jon Gubler's 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®
NoneExperience
Current
August 27, 2007 - Present
PERIOPE, LC
Office #1: 162 North 400 East Bldg. A, Suite 201, St. George, UT 84770RIA
CRD#: 144256
ST. GEORGE, UT
Past
December 14, 2004 - August 13, 2007
ALLEGIS ADVISORS, INC.
RIA
CRD#: 131242
SALT LAKE CITY, UT
Past
April 10, 2002 - November 18, 2004
EQUITY SERVICES, INC.
RIA
CRD#: 265
ST. GEORGE, UT
Past
October 14, 1998 - July 9, 2007
EQUITY SERVICES, INC.
BD
CRD#: 265
ST. GEORGE, UT
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".
PL
PERIOPE, LC
PERIOPE, LC
CRD#: 144256 / SEC#: 801-130296
RIA
Registered Investment Advisory firm - (5/16/2024 Approved)Arizona
Registered Investment Advisory firm - (5/21/2024 Terminated)Nevada
Registered Investment Advisory firm - (5/22/2024 Terminated)New Mexico
Registered Investment Advisory firm - (5/21/2024 Terminated)Texas
Registered Investment Advisory firm - (5/21/2024 Terminated)Utah
Registered Investment Advisory firm - (5/28/2024 Terminated)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
Texas(10/14/2020)
IAR
Utah(8/27/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
PL
PERIOPE, LC
PERIOPE, LC
CRD#: 144256 / SEC#: 801-130296
RIA
Registered Investment Advisory firm - (5/16/2024 Approved)Arizona
Registered Investment Advisory firm - (5/21/2024 Terminated)Nevada
Registered Investment Advisory firm - (5/22/2024 Terminated)New Mexico
Registered Investment Advisory firm - (5/21/2024 Terminated)Texas
Registered Investment Advisory firm - (5/21/2024 Terminated)Utah
Registered Investment Advisory firm - (5/28/2024 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
162 North 400 East Bldg. A, Suite 201, St. George, UT 84770
Mailing Address
Phone number
(435) 634-9008
Established
Firm type
Fiscal year end
# of Employees
2
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 626 |
| AUM (Assets Under Management) | $ 151,987,565 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
PERIOPE, LC
CRD#: 144256St. George, UT 84770TRUST BUT VERIFY
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