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John Tamatoa Gaugin-Rosenthal

Cambridge Investment Research Advisors, Inc.

Fort Lauderdale, FL

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Current Employers
Cambridge Investment Research Advisors, Inc.

1776 Pleasant Plain Rd., Fairfield, IA 52556-8757 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2026-05-04
  • FL RA
    APPROVED
    Since 2026-05-04

Branch Locations

12 Se 7Th St., Ste. 803, Fort Lauderdale, FL 33301 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Cambridge Investment Research Advisors, Inc. Fairfield IA 04/2026 Present
Kawa Capital Management Aventura FL 06/2022 12/2024
Washington And Lee University Lexington VA 08/2016 06/2020
Unemployed Camarillo CA 06/2020 01/2021
Wildfactory Company Camarillo CA 02/2021 05/2021
Babson College Wellesley MA 06/2021 05/2022
The Seven Funds Miami FL 01/2025 04/2026
Cambridge Investment Research Inc Fairfield IA 04/2026 Present
  • 04/2026 → Present
    Cambridge Investment Research Advisors, Inc.
    Fairfield, IA
  • 06/2022 → 12/2024
    Kawa Capital Management
    Aventura, FL
  • 08/2016 → 06/2020
    Washington And Lee University
    Lexington, VA
  • 06/2020 → 01/2021
    Unemployed
    Camarillo, CA
  • 02/2021 → 05/2021
    Wildfactory Company
    Camarillo, CA
  • 06/2021 → 05/2022
    Babson College
    Wellesley, MA
  • 01/2025 → 04/2026
    The Seven Funds
    Miami, FL
  • 04/2026 → Present
    Cambridge Investment Research Inc
    Fairfield, IA
Other Businesses

1. JOHN GAUGIN-ROSENTHAL VC, 2900 NE 7TH AVE UNIT 3406 MIAMI FL 33137, 05/31/2026, OWNER, RIA AFFILIATION - OTHER THAN CIRA, INV REL, 20 HR/MO - 0 HR/MO TRADING

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2026-08-11
S65 Uniform Investment Adviser Law Examination 2026-02-10
  • S63 Uniform Securities Agent State Law Examination
    2026-08-11
  • S65 Uniform Investment Adviser Law Examination
    2026-02-10

View on SEC IAPD

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