De Gao

GAO INVESTMENTS

Las Vegas, NV 89119

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CRD#: 6689009

Professional summary

De Gao, who also goes by Dennis Gao, is a registered financial advisor currently at GAO INVESTMENTS located in Las Vegas, Nevada.

De is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2016. De has worked at 1 firm and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dennis Gao

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 De Gao'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

August 30, 2023 - Present

GAO INVESTMENTS

Office #1: 325 E Warm Springs Rd Ste 102, Las Vegas, NV 89119

RIA

CRD#: 284665

Las Vegas, NV

Past

August 11, 2016 - August 16, 2022

GAO INVESTMENTS

RIA

CRD#: 284665

Las Vegas, NV

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

Nevada
(8/30/2023)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/31/2015

Uniform Investment Adviser Law Examination

Current Firm

GAO INVESTMENTS

GAO INVESTMENTS | GAO, DE | GAO MANAGEMENT LLC

CRD#: 284665 / SEC#: 801-108207

RIA

Registered Investment Advisory firm - (8/16/2022 Terminated)

Nevada

Registered Investment Advisory firm - (8/17/2022 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

325 E Warm Springs Rd Ste 102, Las Vegas, NV 89119

Mailing Address

Phone number

(301) 379-8299

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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De Gao

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view De Gao's CRS (Customer Relationship Summary).

Certified licenses

Experience

GAO INVESTMENTS

GAO INVESTMENTS

State Registrations and Notice Filings

Exams

Series 65

Date: 8/31/2015

Current Firm

GAO INVESTMENTS

Contact information

Documents

Red Flags

Company Information

GAO INVESTMENTS

TRUST BUT VERIFY

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