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Vincent Frank Gauci

Purshe Kaplan Sterling Investments

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About Vincent Frank Gauci

Vincent Gauci is a financial advisor with over 30 years of experience in the industry. Vincent has worked at several firms, including CORECAP INVESTMENTS, LLC, KCD FINANCIAL, INC., QUESTAR CAPITAL CORPORATION, USALLIANZ SECURITIES, INC., INTERVEST INTERNATIONAL EQUITIES CORPORATION, USALLIANZ SECURITIES, INC., MML INVESTORS SERVICES, INC., PRUCO SECURITIES CORPORATION, and THE PRUDENTIAL INSURANCE COMPANY OF AMERICA. Vincent is currently registered with Purshe Kaplan Sterling Investments. Vincent holds FINRA Series 6, 26, 63, 99TO, and SIE licenses. Vincent has a strong track record of providing financial advice to clients.

Firm Information

Vincent Gauci is currently registered with Purshe Kaplan Sterling Investments. Purshe Kaplan Sterling Investments is a Corporation formed on December 16, 1993 and is approved to operate in all 50 states, the District of Columbia, and the Virgin Islands. The firm has been registered with the SEC and has 10 regulatory event disclosures and 2 arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

181

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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Vincent Gauci’s Registration & Firm History

MI

04/06/2022 - Present

Purshe Kaplan Sterling Investments (Livonia MI)

MI

10/15/2014 - 02/18/2022

CORECAP INVESTMENTS, LLC (Livonia MI)

MI

01/25/2008 - 10/15/2014

KCD FINANCIAL, INC. (LIVONIA MI)

MI

12/01/2006 - 01/25/2008

QUESTAR CAPITAL CORPORATION (DEARBORN MI)

MI

11/14/2005 - 12/01/2006

USALLIANZ SECURITIES, INC. (DEARBORN MI)

MI

01/05/2004 - 11/21/2005

INTERVEST INTERNATIONAL EQUITIES CORPORATION (DEARBORN MI)

MN

11/19/1998 - 01/07/2004

USALLIANZ SECURITIES, INC. (MINNEAPOLIS MN)

MA

05/18/1998 - 10/05/1998

MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)

NJ

02/08/1983 - 06/09/1997

PRUCO SECURITIES CORPORATION (NEWARK NJ)

NJ

02/08/1983 - 12/10/1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)

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Licenses & Designations

BC

Issued 01/30/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/27/1997

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 02/07/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for Vincent Frank Gauci. Review regulatory record here.
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