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JG

Jaques C. Gauna

INNOVATIVE ASSET ADVISORS GROUP
SHELTON, CT 06484
Some features on this profile are disabled
CRD#: 5027675
JG

Professional summary

Jaques Clariond Gauna, CFA, who also goes by Jaques C Gauna, is a registered financial advisor currently at INNOVATIVE ASSET ADVISORS GROUP located in Shelton, Connecticut.

Jaques is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. Jaques has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Jaques C Gauna

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 Jaques Clariond Gauna'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®
CFA

Chartered Financial Analyst

Experience

Current

April 24, 2026 - Present

INNOVATIVE ASSET ADVISORS GROUP

Office #1: 1 Enterprise Drive, Suite 425, Shelton, CT 06484
RIA
CRD#: 336773
SHELTON, CT
Past

March 8, 2018 - February 21, 2020

BROOKFIELD PRIVATE ADVISORS LLC

BD
CRD#: 151423
NEW YORK, NY
Past

July 25, 2016 - February 9, 2018

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
New York, NY
Past

July 13, 2016 - February 9, 2018

UBS SECURITIES LLC

BD
CRD#: 7654
NEW YORK, NY
Past

July 13, 2016 - February 9, 2018

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

September 9, 2015 - June 28, 2016

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

September 28, 2005 - March 2, 2010

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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".
IA
INNOVATIVE ASSET ADVISORS GROUP
INNOVATIVE ASSET ADVISORS GROUP | INNOVATIVE ASSET ADVISORS GROUP, LLC

CRD#: 336773 / SEC#: 801-133714

RIA
Registered Investment Advisory firm - (6/24/2025 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
Connecticut
(4/24/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 12/10/2015
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/9/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 3
Date: 6/9/2014
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 6
Date: 9/27/2005
Investment Company Products/Variable Contracts Representative Examination

Current Firm

IA
INNOVATIVE ASSET ADVISORS GROUP
INNOVATIVE ASSET ADVISORS GROUP | INNOVATIVE ASSET ADVISORS GROUP, LLC

CRD#: 336773 / SEC#: 801-133714

RIA
Registered Investment Advisory firm - (6/24/2025 Approved)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
1 Enterprise Drive, Suite 425, Shelton, CT 06484
Mailing Address
Phone number
(203) 444-3599
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (5 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

ADV PART 2A-2B (5/21/2025)

Regulatory assets under management

Total Number of Accounts290
AUM (Assets Under Management)$ 134,490,000

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

INNOVATIVE ASSET ADVISORS GROUP

CRD#: 336773Shelton, CT 06484

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