Philip E. Gaucher

DAWSON JAMES SECURITIES

Boca Raton, FL 33432

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CRD#: 4561709

Professional summary

Philip E Gaucher Jr., who also goes by Philip E Gaucher Jr, Philip E Gaucher, Philip Emile Gaucher Jr, is a registered financial professional currently at DAWSON JAMES SECURITIES, INC. located in Boca Raton, Florida.

Philip is registered as a RR (Registered Representative) and started their career in finance in 2004. Philip has worked at 5 firms and has passed the Series 63, Series 79TO, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Philip E Gaucher Jr | Philip E Gaucher | Philip Emile Gaucher Jr

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) - BD

Click below to view Philip E Gaucher Jr.'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

January 14, 2025 - Present

DAWSON JAMES SECURITIES, INC.

Office #1: 101 North Federal Highway Suite 600, Boca Raton, FL 33432

CRD#: 130645

Boca Raton, FL

Past

April 29, 2024 - February 10, 2025

DOMINARI SECURITIES LLC

CRD#: 18975

NEW YORK, NY

Past

June 29, 2020 - April 29, 2024

ENTORO SECURITIES, LLC

CRD#: 35192

HOUSTON, TX

Past

August 29, 2005 - February 22, 2006

GEORGE WEISS ASSOCIATES, INC.

CRD#: 7683

HARTFORD, CT

Past

August 18, 2004 - May 20, 2005

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

State Registrations and Notice Filings

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

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

Arizona
(4/9/2025)

Colorado
(1/14/2025)

Florida
(1/14/2025)

New York
(1/14/2025)

Pennsylvania
(1/14/2025)

Puerto Rico
(1/14/2025)

Exams

State Security Law Exam

Series 63

Date: 10/14/2020

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 79TO

Date: 4/12/2024

Investment Banking Registered Representative Examination

General Industry/Product Exam

Series 7TO

Date: 6/29/2020

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 7/2/2019

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/2004

General Securities Representative Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

DAWSON JAMES SECURITIES, INC.

CRD#: 130645 / SEC#: , 8-66367

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

101 North Federal Highway Suite 600, Boca Raton, FL 33432

Mailing Address

101 North Federal Highway Suite 600, Boca Raton, FL 33432

Phone number

(561) 391-5555

Established

Florida since 07/30/2002

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
ARK FINANCIAL SERVICES, INC.	OWNER
DORFMAN, JENNIFER	CHIEF COMPLIANCE OFFICER/AML COMPLIANCE OFFICER	3009328
KEYSER, ROBERT DAWSON JR.	CEO	1291503
STICE, HAROLD EUGENE	CHIEF FINANCIAL OFFICER/FINOP	1349210

Disclosures

Regulatory Event	12
Civil Event	1
Arbitration	3

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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Firm Stability Insights

Philip E. Gaucher

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philip E Gaucher Jr.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

DOMINARI SECURITIES LLC

ENTORO SECURITIES, LLC

GEORGE WEISS ASSOCIATES, INC.

CITIGROUP GLOBAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 10/14/2020

Series 79TO

Date: 4/12/2024

Series 7TO

Date: 6/29/2020

SIE

Date: 7/2/2019

Series 7

Date: 8/17/2004

FINRA

Nasdaq Stock Market

Current Firm

DAWSON JAMES SECURITIES, INC.

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

DAWSON JAMES SECURITIES, INC.

TRUST BUT VERIFY

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