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Craig M Gougis

Investment Adviser Representative at EMERSON EQUITY LLC

Cerritos, CACRD #3258023Dual-registered
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
26 yrs
States Registered
18 states
Exams Passed
8

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Craig M. Gougis has worked in the securities industry since 2000. They are registered to provide investment advisory services in 18 U.S. states.

Registrations & licenses

Registration type
Dual-registered
Registered in 18 states
AlabamaArizonaCaliforniaConnecticutGeorgiaIdahoIowaLouisianaMinnesotaMississippiNevadaNew JerseyNew YorkNorth CarolinaOhioPennsylvaniaRhode IslandTexas
Examinations passed
Series 66
Uniform Combined State Law Examination
Passed 9/28/1999
Series 52
Municipal Securities Representative Examination
Passed 1/2/2023
Series 99
Operations Professional Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 12/20/2006
Series 7
General Securities Representative Examination
Passed 8/12/1999
Series 53
Municipal Securities Principal Examination
Passed 1/20/2009
Series 24
General Securities Principal Examination
Passed 11/20/2007

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.025
Source

Emerson Equity LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

PENSERRA WEALTH MANAGEMENTCurrent
2/21/2025Cerritos, CA
EMERSON EQUITY LLCCurrent
11/3/2021Cerritos, CA
EMERSON EQUITY LLC
11/3/20212/24/2025Irvine, CA
NATIONAL ASSET MANAGEMENT, INC.
5/21/200910/5/2021Newport Beach, CA
SAGEPOINT FINANCIAL, INC.
7/17/20075/12/2009San Clemente, CA
CITIGROUP GLOBAL MARKETS INC.
7/6/20067/30/2007Newport Beach, CA
WELLS FARGO INVESTMENTS, LLC
3/27/20024/20/2005Newport Beach, CA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Craig M Gougis has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

Craig M Gougis - Financial Advisor in Cerritos, CA | AdvisorFinder