Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dean? Claim Your ProfileDean H. Gaugler is a financial advisor with UBS Financial Services Inc. Dean has been in the industry since October 8, 1988. Dean is registered with the state of Connecticut and Texas as a Registered Representative and Investment Advisor Representative. Previously, Dean was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Wachovia Securities, LLC, Prudential Securities Incorporated, Washington Square Securities, Inc., Fairport Capital, Inc., and Investors Center Inc.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
See schedule d - miscellaneous
1
2
CT
04/24/2009 - Present
UBS Financial Services Inc. (STAMFORD CT)
CT
10/28/2005 - 05/01/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FAIRFIELD CT)
MO
07/01/2003 - 11/01/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
05/17/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CT
08/11/1998 - 06/16/2000
WASHINGTON SQUARE SECURITIES, INC. (WINDSOR CT)
AZ
10/06/1988 - 07/24/1998
FAIRPORT CAPITAL, INC. (SCOTTSDALE AZ)
NA
09/20/1988 - 10/03/1988
INVESTORS CENTER INC.
IA
Issued 09/16/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/17/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/05/1988
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/15/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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