TrueAdvisor
TrueAdvisor
EG
EG

Erik Gaucher

Charles Schwab & CO., INC.
28 Years of Experience
Seattle, WA
1 DisclosureBroker
View SEC Summary
View SEC Summary

Erik Gaucher is a registered investment advisor at Charles Schwab & CO., INC., based in Seattle, WA, with 28 years of industry experience. Erik is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.

Charles Schwab & CO., INC.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M0.80%
$1.0M - $2.0M0.75%
$2.0M - $5.0M0.70%
$5.0M - $10.0M0.50%
$10.0M - $25.0M0.30%
$25M+0.30%

Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

400 Westlake Ave N, Suite 110, Seattle, WA, 98109

Get directions

History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
May 2011
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Erik is a managing member and owner of Front Porch Hospitality LLC, a restaurant in Kansas City, and 4 Paw Drive LLC, a management consulting service. These activities each take about 10-20% of Erik's time.

Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
January 2022 - Present · 4 yrs 9 mos
Charles Schwab & CO., INC.
January 2022 - Present · 4 yrs 9 mos
Previous Registrations
TD Ameritrade, INC.Broker
August 2023 - May 2024 · 9 mos
MML Investors Services, LLC
June 2021 - September 2021 · 3 mos
MML Investors Services, LLCBroker
April 2021 - September 2021 · 5 mos
MML Investors Services, LLCBroker
September 2018 - July 2019 · 10 mos
MML Investors Services, LLCBroker
March 2017 - August 2017 · 5 mos
MML Investors Services, LLC
March 2017 - August 2017 · 5 mos
Msi Financial Services, INC.
August 2014 - March 2017 · 2 yrs 7 mos
New England SecuritiesBroker
August 2014 - January 2015 · 5 mos
Msi Financial Services, INC.Broker
July 2014 - March 2017 · 2 yrs 8 mos
Wells Fargo Advisors, LLC
January 2012 - May 2014 · 2 yrs 4 mos
Wells Fargo Advisors, LLCBroker
January 2012 - May 2014 · 2 yrs 4 mos
Wells Fargo Advisors, LLC
January 2012 - January 2012 · 0 mos
UBS Financial Services INC.
July 2002 - January 2012 · 9 yrs 6 mos
UBS Financial Services INC.Broker
June 1997 - January 2012 · 14 yrs 7 mos
Uslife Equity Sales CORP.Broker
July 1996 - June 1997 · 11 mos
Gruntal & CO. IncorporatedBroker
June 1993 - July 1994 · 1 yr 1 mo
Gkn Securities CORP.Broker
July 1992 - June 1993 · 11 mos
State Registrations47 states
AKAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMTNCNDNENJNMNVNYOHOKORPARISCSDTNTXUTVAVTWAWIWVWY
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.
More Advisors
More financial advisors in Seattle, WA →All financial advisors in Washington →