Unclaimed Profile

Thomas Benson Gau

THOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI·ASHLAND, Oregon

Series 7, Series 24, Series 63, Series 6530 years registeredTHOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI

645 A STREET, ASHLAND, OR 97520CRD# 1294982Firm CRD# 139358

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Thomas Benson Gau · ASHLAND, OR

Registration

CRD #1294982 · THOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI · 30 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI

MATERETSKY FINANCIAL GROUP

Jun 2018 – Sep 2022

BOYNTON BEACH, FL

OREGON PACIFIC FINANCIAL ADVISORS INC

Jan 1996 – Sep 2006

ASHLAND, OR

Registrations & Exams

FINRA examinations passed

Series 7

Series 24

Series 63

Series 65

Registration record

First registered · January 13, 1996

Years registered · 30

Disclosure History

2014Customer Dispute·Settled

2012Customer Dispute·Denied

2011Customer Dispute·Denied

2005Customer Dispute·Denied

1999Customer Dispute·Settled

1991Customer Dispute·Settled

6 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

S & P FINANCIAL, INC.

CRD 139358 · SEC 801-66205

AUM

$268M

Regulatory assets under management

Employees

1,366 client accounts

Services offered by S & P FINANCIAL, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at S & P FINANCIAL, INC. →

Introduction

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Frequently Asked Questions

What services does Thomas Benson Gau offer?

Thomas Benson Gau specializes in Financial Planning, Investment Management.

What are Thomas Benson Gau's credentials?

Thomas Benson Gau is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Thomas Benson Gau located?

Thomas Benson Gau is based in ASHLAND, Oregon, last registered with THOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI.

How does Thomas Benson Gau charge for services?

Thomas Benson Gau's firm is compensated through percentage of aum, hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI?

THOMAS B. GAU ENTERPRISES, INC. DBA RETIREMENT PLANNING SPECIALI has approximately 2 employees and manages $268M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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