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Craig Gougis

Penserra Wealth Management
25 Years of Experience
Cerritos, CA
8 DisclosuresSells Insurance
View SEC Summary
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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 Financial Planning & Coaching, High Net Worth, Investment Management, Retirement Planning. Their firm serves 8 clients with $2.5M in assets under management.

Penserra Wealth Management
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9 advisors
Number of Clients
8 clients
Average Client Portfolio
$313K average
Assets Under Management
$2.5M

Fee Structure

Minimum Investment:None
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Annual fees are negotiated between the client and their investment advisor representative, ranging from 0.20% to 2.00%.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

Cerritos, CA

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History

Regulatory History (8)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2026
Pending
Judgment / Lien
August 2023
Judgment / Lien
October 2020
Judgment / Lien
March 2020
Judgment / Lien
March 2020
Judgment / Lien
October 2018
Judgment / Lien
April 2016
Customer Dispute
October 2002
Settled
View Full SEC ReportHow to Read Disclosures
Other 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
February 2025 - Present · 1 yr 8 mos
Previous Registrations
Emerson Equity LLCBroker
November 2021 - August 2026 · 4 yrs 9 mos
Emerson Equity LLC
November 2021 - February 2025 · 3 yrs 3 mos
National Asset Management, INC.
May 2009 - October 2021 · 12 yrs 5 mos
National Securities CorporationBroker
May 2009 - October 2021 · 12 yrs 5 mos
Sagepoint Financial, INC.
July 2007 - May 2009 · 1 yr 10 mos
Sagepoint Financial, INC.Broker
July 2007 - May 2009 · 1 yr 10 mos
Citigroup Global Markets INC.
July 2006 - July 2007 · 1 yr
Citigroup Global Markets INC.Broker
July 2006 - July 2007 · 1 yr
Wells Fargo Investments, LLC
March 2002 - April 2005 · 3 yrs 1 mo
Wells Fargo Investments, LLCBroker
February 2002 - April 2005 · 3 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
August 1999 - March 2002 · 2 yrs 7 mos
State Registrations1 state
CA
Advisor

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.

Exams
No exam information available for this advisor.
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