Craig M. Gougis

PENSERRA WEALTH MANAGEMENT

Cerritos, CA

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CRD#: 3258023

Professional summary

Craig M Gougis, who also goes by Craig Martin Gougis, is a registered financial advisor currently at PENSERRA WEALTH MANAGEMENT located in Cerritos, California and EMERSON EQUITY LLC located in Irvine, California.

Craig is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Craig has worked at 8 firms and has passed the Series 66, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Craig Martin Gougis

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)-SOUTH COAST ENTERPRISE SOLUTIONS-INVESTMENT RELATED,9940 RESEARCH DRIVE, STE 200 IRVINE, CA 92618, REFERRAL OF TRADITIONAL BANKING BUSINESS( i.e. CASH MANAGEMENT, COMMERCIAL LOANS, MERCHANT CARD PROCESSING), BUSINESS DEVELOPMENT, ZERO HOURS MONTHLY AND ZERO HOURS DURING SECURITIES TRADING HOURS, 5/2023 2)-PRESLEYGA-INVESTMENT RELATED, 9940 RESEARCH DRIVE, STE 200, IRVINE, CA 92618, HEALTH INSURANCE SALES, INSURANCE AGENT,HEALTH INSURANCE FOCUSING ON SUPPLEMENTAL POLICIES, 20 HRS PER MONTH, 0 DURING SECURITIES TRADING HOURS, 10/2023 3) IRVINE ADVISORS-INVESTMENT RELATED, 9940 RESEARCH DRIVE, STE 200, IRVINE, CA 92618, MARKETING VEHICLE THROUGH WHICH INVESTMENT RELATED BUSINESS IS DONE WITH EMERSON EQUITY LLC, NOT TITLE USED AS A DBA FOR MARKETING PURPOSES ONLY, 160 HRS MONTHLY, 120 MONTHLY DURING SECURITIES TRADING HOURS, 09/2023 4) PENSERRA WEALTH MANAGMENT, LLC-INVESTMENT RELATED, 4 ORINDA WAY, STE 100-A ORINDA, CA 94563, REGISTERED INVESTMENT ADVISOR, INVESTMENT ADVISORY REPRESENTATIVE-EVP, RIA FOR ADVISORY BUSINESS USING THIRD PARTY MONEY MANAGERS, MUTUAL FUNDS AND FINANCIAL PLANNING, 160 HRS PER MONTH, 80 HRS PER MONTH DURING SECURITIES TRADING HOURS, 02/2025

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig M Gougis'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

February 21, 2025 - Present

PENSERRA WEALTH MANAGEMENT

RIA

CRD#: 333218

Cerritos, CA

Current

November 3, 2021 - Present

EMERSON EQUITY LLC

Office #1: 9940 Research Drive Suite 200, Irvine, CA 92618

RIA

CRD#: 130032

Irvine, CA

Past

November 3, 2021 - February 24, 2025

EMERSON EQUITY LLC

RIA

CRD#: 130032

Newport Beach, CA

Past

May 21, 2009 - October 5, 2021

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

NEWPORT BEACH, CA

Past

May 6, 2009 - October 5, 2021

NATIONAL SECURITIES CORPORATION

CRD#: 7569

NEWPORT BEACH, CA

Past

July 17, 2007 - May 12, 2009

OSAIC SERVICES, INC.

RIA

CRD#: 133763

SAN CLEMENTE, CA

Past

July 16, 2007 - May 12, 2009

OSAIC SERVICES, INC.

CRD#: 133763

SAN CLEMENTE, CA

Past

July 6, 2006 - July 30, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEWPORT BEACH, CA

Past

July 6, 2006 - July 30, 2007

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEWPORT BEACH, CA

Past

March 27, 2002 - April 20, 2005

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

NEWPORT BEACH, CA

Past

February 28, 2002 - April 20, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

August 14, 1999 - March 1, 2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

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".

PENSERRA WEALTH MANAGEMENT

PENSERRA WEALTH MANAGEMENT | PENSERRA WEALTH MANAGEMENT LLC

CRD#: 333218 / SEC#: 801-131343

RIA

Registered Investment Advisory firm - (10/24/2024 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alabama
(11/3/2021)

Arizona
(11/3/2021)

California
(11/3/2021)

IAR

California
(2/21/2025)

Connecticut
(11/3/2021)

Georgia
(10/13/2023)

Idaho
(11/3/2021)

Iowa
(11/3/2021)

Louisiana
(1/20/2022)

Minnesota
(11/4/2021)

Mississippi
(11/3/2021)

Nevada
(11/3/2021)

New Jersey
(11/3/2021)

New York
(11/3/2021)

North Carolina
(11/18/2021)

Ohio
(11/3/2021)

Pennsylvania
(11/3/2021)

Rhode Island
(11/3/2021)

Texas
(11/3/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/28/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 12/20/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 8/12/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 1/20/2009

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/20/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

PENSERRA WEALTH MANAGEMENT

PENSERRA WEALTH MANAGEMENT | PENSERRA WEALTH MANAGEMENT LLC

CRD#: 333218 / SEC#: 801-131343

RIA

Registered Investment Advisory firm - (10/24/2024 Approved)

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Contact information

Main Address

4 Orinda Way 100-a, Orinda, CA, 94563

Mailing Address

Phone number

(415) 717-9276

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PENSERRA WEALTH MANAGEMENT DISCLOSURES BROCHURE (3/13/2025)

PENSERRA WEALTH MANAGEMENT WRAP FEE BROCHURE (3/13/2025)

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.

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Advisor Monitoring

Firm Stability Insights

Craig M. Gougis

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Craig M Gougis's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMERSON EQUITY LLC

EMERSON EQUITY LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

PENSERRA WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 9/28/1999

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 12/20/2006

Series 7

Date: 8/12/1999

Series 53

Date: 1/20/2009

Series 24

Date: 11/20/2007

FINRA

Current Firm

PENSERRA WEALTH MANAGEMENT

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Red Flags

Company Information

PENSERRA WEALTH MANAGEMENT

TRUST BUT VERIFY

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