Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Emil Gau is a financial advisor with over 20 years of experience in the financial services industry. Joseph has worked at several reputable firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, NatWest Securities Corporation, and Waddell & Reed. Since 2015, Joseph has been working as a Senior Financial Advisor for Fairport Asset Management Corp. and provides financial, investment and retirement advice to clients. Joseph holds licenses including Series 63, Series 65, Series 7 and SIE.
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.
Sales charges, selection and monitoring fee
1
2
CT
08/03/2017 - Present
Fairport Asset Management Corp. (FAIRFIELD CT)
CT
04/11/2017 - 07/31/2017
KEY INVESTMENT SERVICES LLC (WESTPORT CT)
CT
03/06/2015 - 03/01/2017
CRITO CAPITAL LLC (Westport CT)
CT
06/19/2014 - 09/04/2014
WADDELL & REED (HAMDEN CT)
NY
03/12/1998 - 02/25/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/05/1997 - 01/26/1998
NATWEST SECURITIES CORPORATION (NEW YORK NY)
NY
11/30/1993 - 01/27/1997
W.I. CARR (AMERICA) LIMITED (NEW YORK NY)
NA
11/18/1986 - 01/15/1992
CITICORP FINANCIAL SERVICES,INC.
BC
Issued 07/10/2014
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 09/12/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2014
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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