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Shiqi Gu

Cetera Advisors LLC

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About Shiqi Gu

Shiqi Gu is a registered representative with Cetera Advisors LLC in Westborough, MA. Shiqi has been in the financial services industry since February 8, 2015. Shiqi is registered to offer securities in Massachusetts. Shiqi holds the Series 63, Series 7 and SIE exams. Shiqi was previously employed by Commonwealth Financial Network in Framingham, MA.

Firm Information

Shiqi Gu is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

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.

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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Shiqi Gu’s Registration & Firm History

MA

01/12/2018 - Present

Cetera Advisors LLC (WESTBOROUGH MA)

MA

02/06/2015 - 01/08/2018

COMMONWEALTH FINANCIAL NETWORK (FRAMINGHAM MA)

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Licenses & Designations

BC

Issued 12/18/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/06/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Shiqi Gu.
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