Denise RauCRD Number: 3100099
Current Firm: Gwm Advisors, LLC
Denise Rau (CRD# 3100099) is an Investment Advisor Representative working at Gwm Advisors, LLC in Lake Charles, LA and has over 16 years of experience in the finance industry. Denise Rau has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
Lpl Financial LLC
Securities America Advisors, Inc.
Raymond James Financial Services Advisors, Inc.
|Gwm Advisors LLC||Lake Charles, LA||Jul 2016 - Current||1|
|Lpl Financial LLC||Lake Charles, LA||Jan 2005 - Current||13|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 2002|
Total Assets Under Management1,054MILLIONS
Total Number of Accounts4,103ACCOUNTS
Average Account Value$256,885
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AL, AR, CA, FL, GA, KS, LA, MA, MN, MS, NC, ND, OH, OK, SD, TX, VA, WI