Jun Gu

Employer firm

Corient CRD 319448

$165B regulatory AUM 506 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2010 → 03/2021
  Stavis & Cohen Financial
  Houston, TX
• 05/2014 → 07/2022
  Fsc Securities Corporation
  Houston, TX
• 01/2023 → Present
  Corient
  Houston, TX
• 07/2022 → 12/2022
  Purshe Kaplan Sterling Investments
  Albany, NY
• 07/2014 → 03/2023
  Stavis & Cohen Private Wealth, Llc
  Houston, TX
• 07/2023 → Present
  Corient Services Llc
  Miami, FL
• 01/2022 → 07/2023
  Cipw Service Company, Llc
  Toronto

Previous Registrations

• 2021-03-04 → 2023-03-31
  Stavis & Cohen Private Wealth, Llc
  Houston, TX
• 2014-07-07 → 2021-03-15
  Scf Private Wealth Holdings, Llc
  Houston, TX

Other Businesses

Name - CFA Society of Houston Investment-related - Yes Address - 915 East High Street, Charlottesville, VA 22902 Nature of business - CFA Institue Position - Board Director Start date - 7/2021 Hours per month - 2 Hours during securities trading hours - 1 Duties - Attending 7-8 board meetings a year Name - Rice University Investment-related - No Address - 6100 Main St, Houston, TX 77005 Nature of business - Education Position - Advisory board member of the Rice Wright Fund Start date - 12/1/2023 Hours per month - 1 Hours during securities trading hours - 0 Duties - In my capacity as the advisory board member, I focus on challenging students' thought processes and aiding in portfolio management experience. I am not directly involved in managing the fund.

Exams

• S63 Uniform Securities Agent State Law Examination
  2014-06-20

Designations

• Chartered Financial Analyst