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Peter Gau

Pruco Securities, LLC

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About Peter Gau

Peter Gau is a financial advisor with Pruco Securities, LLC. Peter has been in the industry since 2010. Peter has passed several exams, including the Series 6, 7, 63, 66, and SIE. Peter has worked for several firms including Wells Fargo Advisors, LLC and JP Morgan Securities LLC. Peter is currently registered in Arizona, California and Mississippi. In addition to working as a financial advisor, Peter also co-owns a retail business. Peter has specialized experience in areas such as Portfolio Management for individuals, selection of other advisors, and financial planning services.

Firm Information

Peter Gau is currently registered with Pruco Securities, LLC. Pruco Securities, LLC is a Limited Liability Company formed in 2003 and headquartered in Newark, NJ. The firm provides investment advisory services including selection of other advisers. They primarily serve high-net-worth individuals, individuals other than high-net-worth, corporations or other businesses, and trust and estate accounts. Pruco Securities, LLC is registered with the SEC and all 50 states and has over 113,000 accounts under management.
Pruco Securities, LLC

751 BROAD STREET

NEWARK, NJ 07102-3777

$16.38B

Assets Under Management

2,286

Total Clients

3,605

Total Financial Advisors

Services Offered

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.

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selection of other advisors

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Fee Structure

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.

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other

Compensation from lpl enterprise, llc

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Peter Gau’s Registration & Firm History

CA

01/10/2022 - Present

Pruco Securities, LLC (SAN JOSE CA)

CA

08/01/2016 - 12/19/2021

J.P. MORGAN SECURITIES LLC (ATASCADERO CA)

CA

01/03/2011 - 07/06/2016

WELLS FARGO ADVISORS, LLC (SANTA BARBARA CA)

CA

05/10/2010 - 01/03/2011

WELLS FARGO INVESTMENTS, LLC (SANTA BARBARA CA)

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Licenses & Designations

BOTH

Issued 12/27/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 05/18/2010

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 06/27/2012

Series 7 - General Securities Representative Examination

BC

Issued 05/07/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Peter Gau.
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