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ChFC

Richard Gagne

Cetera Investment Advisers LLC
44 Years of Experience
Beaumont, TX
BrokerSells Insurance
View SEC Summary
View SEC Summary

Richard Gagne is a ChFC-designated registered investment advisor at Cetera Investment Advisers LLC, based in Beaumont, TX, with 44 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their firm serves 813,961 clients with $260B in assets under management.

Cetera Investment Advisers LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10458 advisors
IM Fee
Planning only
Assets Under Management
$256.8B

Location

6755 Phelan Blvd Suite 28, Beaumont, TX, 77706

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business ActivitiesSells Insurance

Richard sells fixed insurance products since January 2024, spending minimal time on this activity. This is conducted at the branch location and is investment-related.

Employment History
Current Registrations
Cetera Wealth Services, LLCBroker
August 2026 - Present · 2 mos
Cetera Investment Advisers LLC
August 2026 - Present · 2 mos
Previous Registrations
Commonwealth Financial Network
January 2024 - September 2026 · 2 yrs 8 mos
Commonwealth Financial NetworkBroker
January 2024 - September 2026 · 2 yrs 8 mos
Raymond James Financial Services Advisors, INC
May 2017 - January 2024 · 6 yrs 8 mos
Raymond James Financial Services, INC.Broker
April 2017 - January 2024 · 6 yrs 9 mos
Broker Dealer Financial Services CORP.Broker
August 2016 - April 2017 · 8 mos
Lexaurum Advisors, LLC
August 2016 - April 2017 · 8 mos
Vsr Advisory Services
January 2005 - August 2016 · 11 yrs 7 mos
Vsr Financial Services, INC.Broker
October 2004 - August 2016 · 11 yrs 10 mos
The Masters
October 2004 - December 2004 · 2 mos
H. Beck, INC.Broker
November 1992 - October 2004 · 11 yrs 11 mos
Retirement Investment GroupBroker
March 1990 - November 1992 · 2 yrs 8 mos
H. Beck, INC.Broker
October 1987 - March 1990 · 2 yrs 5 mos
Lowry Financial Services CorporationBroker
September 1983 - November 1987 · 4 yrs 2 mos
Mony Securities CORP.Broker
April 1983 - October 1983 · 6 mos
Southwestern Management & Research CorporationBroker
July 1982 - May 1983 · 10 mos
State Registrations7 states
ARCACOLAMAOHTX
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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