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Eric Gauster

Oppenheimer & CO. INC.
31 Years of Experience
Fort Myers, FL
6 DisclosuresBroker
View SEC Summary
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Eric Gauster is a registered investment advisor at Oppenheimer & CO. INC., based in Fort Myers, FL, with 31 years of industry experience. Eric 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, Investment Management, and 2 more. Their firm serves 39,036 clients with $37B in assets under management.

Oppenheimer & CO. INC.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
1159 advisors
Number of Clients
39,036 clients
Average Client Portfolio
$940K average
Assets Under Management
$36.7B

Fee Structure

Minimum Investment:$10K
Investment management only (planning not offered)
Minimum Annual Fee:$250
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

Maximum asset-based fees are up to 2.5% for the FAM program and up to 2.25% for the Preference program. Fees vary by program and are negotiable.

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

Location

6700 Daniels Parkway, Ste 1, Fort Myers, FL, 33912

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History

Regulatory History (6)
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.
Regulatory
March 2016
Final
Customer Dispute
March 2012
Award / Judgment
Employment Separation After Allegations
March 2006
Customer Dispute
June 2003
Closed-No Action
Customer Dispute
July 2002
Settled
Customer Dispute
December 2000
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Eric acts as trustee for his niece and nephew's trust accounts. He anticipates spending minimal time on this activity.

Employment History
Current Registrations
Oppenheimer & CO. INC.
July 2006 - Present · 20 yrs 3 mos
Oppenheimer & CO. INC.
April 2006 - Present · 20 yrs 6 mos
Oppenheimer & CO. INC.Broker
April 2006 - Present · 20 yrs 6 mos
Previous Registrations
Citigroup Global Markets INC.Broker
February 2006 - April 2006 · 2 mos
Legg Mason Wood Walker, IncorporatedBroker
July 2002 - February 2006 · 3 yrs 7 mos
Salomon Smith Barney INC.Broker
September 1994 - May 2002 · 7 yrs 8 mos
State Registrations27 states
ALCACOCTDCFLGAIDILINLAMAMDMIMNNCNENHNVNYOHPASCTNTXVAWI
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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