Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Calvin? Claim Your ProfileCalvin Gauss has been in the financial services industry since 1998. Calvin is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Prior to joining Merrill Lynch, Calvin was employed with DEAN WITTER REYNOLDS INC. Calvin has been a financial professional for over 20 years. Calvin is a Series 3, 7, 9, 10, 31, 63, and 65 licensed professional. Calvin is also registered in multiple states across the United States. Calvin is a financial advisor committed to providing financial solutions for individuals and businesses,
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
CO
03/13/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOULDER CO)
NY
10/21/1998 - 01/24/2000
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 01/06/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/30/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/02/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/30/2012
Series 3 - National Commodity Futures Examination
BC
Issued 11/11/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 10/19/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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