Craig Gougis
Craig Gougis is a registered investment advisor at Penserra Wealth Management, based in Cerritos, CA, with 25 years of industry experience. Craig operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 1 more. Their firm serves 8 clients with $2.5M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Penserra Wealth Management charges an annual fee based on the value of your portfolio, ranging from 0.20% to 2.00%. The exact fee depends on the complexity of services, the amount you invest, and your overall relationship with Penserra. Fees are paid quarterly in advance. The fee may be negotiable. Penserra may recommend independent managers or sub-advisors, but does not earn compensation from them.
Location
Cerritos, CA
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Regulatory History (7)
Judgment / Lien
August 2023Judgment / Lien
October 2020Judgment / Lien
March 2020Judgment / Lien
March 2020Judgment / Lien
October 2018Judgment / Lien
April 2016Customer Dispute
October 2002Other Business ActivitiesSells Insurance
Craig is involved in several business activities, including referral of traditional banking business, health insurance sales as an insurance agent, marketing for investment-related business through Irvine Advisors, and serving as an EVP and RIA for Penserra Wealth Management, LLC. He dedicates a full-time amount of time to Irvine Advisors and Penserra Wealth Management, LLC, and about 10-20% of his time to health insurance sales.
Employment History
Current Registrations
Penserra Wealth Management
Emerson Equity LLC
Emerson Equity LLCBroker
Previous Registrations
Emerson Equity LLC
National Asset Management, INC.
National Securities CorporationBroker
Sagepoint Financial, INC.
Sagepoint Financial, INC.Broker
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Wells Fargo Investments, LLC
Wells Fargo Investments, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations18 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.