David T. Gau

GREAT WATERS FINANCIAL

Shoreview, MN 55126

Some features on this profile are disabled

CRD#: 6962279

Professional summary

David Thomas Gau is a registered financial advisor currently at GREAT WATERS FINANCIAL located in Shoreview, Minnesota.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2021. David has worked at 5 firms and has passed the Series 66, Series 7TO and SIE 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Thomas Gau'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 2, 2026 - Present

GREAT WATERS FINANCIAL

Office #1: 4100 Lexington Ave N Suite 100, Shoreview, MN 55126

RIA

CRD#: 308215

Shoreview, MN

Past

March 31, 2025 - October 29, 2025

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

EDINA, MN

Past

November 23, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

MINNETONKA, MN

Past

November 17, 2022 - October 29, 2025

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

EDINA, MN

Past

June 21, 2021 - October 5, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Minnetonka, MN

Past

February 15, 2021 - October 5, 2022

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Minnetonka, MN

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".

GREAT WATERS FINANCIAL

GREAT WATERS FINANCIAL | GREAT WATERS WEALTH MANAGEMENT

CRD#: 308215 / SEC#: 801-123543

RIA

Registered Investment Advisory firm - (3/28/2022 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

Minnesota
(2/2/2026)

IAR

Texas
(2/2/2026)

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 66

Date: 6/18/2021

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 2/13/2021

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/7/2020

Securities Industry Essentials Examination

Current Firm

GREAT WATERS FINANCIAL

GREAT WATERS FINANCIAL | GREAT WATERS WEALTH MANAGEMENT

CRD#: 308215 / SEC#: 801-123543

RIA

Registered Investment Advisory firm - (3/28/2022 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

4100 Lexington Ave N Suite 100, Shoreview, MN 55126

Mailing Address

Phone number

(612) 360-2127

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (2/14/2026)

Regulatory assets under management

Total Number of Accounts	6,141
AUM (Assets Under Management)	$ 1,235,101,181

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.

Similar Advisors

Kyle Klatt

OSAIC WEALTH, INC.

IAR

Forest Lake, MN

Chad Rusten

ELEMENT SQUARED PRIVATE WEALTH

IAR

Minneapolis, MN

Brian Niemann

CETERA INVESTMENT ADVISERS LLC

IAR

Rice Lake, WI

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David T. Gau

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Thomas Gau's CRS (Customer Relationship Summary).

Certified licenses

Experience

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

GREAT WATERS FINANCIAL

State Registrations and Notice Filings

Exams

Series 66

Date: 6/18/2021

Series 7TO

Date: 2/13/2021

SIE

Date: 3/7/2020

Current Firm

GREAT WATERS FINANCIAL

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GREAT WATERS FINANCIAL

TRUST BUT VERIFY

Similar Advisors