Craig M Gougis

Penserra Wealth Management

25 Years of Experience

7 DisclosuresBrokerSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & Coaching

Penserra Wealth Management

Compensation

Fee-Only (AUM)

Firm Size

1 advisor

Number of Clients

Not specified

Average Client Portfolio

Not specified

Fee Structure

Location

Cerritos, CA

Get directions

History

Regulatory History (7)

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.

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 Report How 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.