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Chase Gauthier

Cetera Investment Advisers LLC
7 Years of Experience
Vernon Hills, IL
1 DisclosureBroker
View SEC Summary
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Chase Gauthier is a CFP-designated registered investment advisor at Cetera Investment Advisers LLC, based in Vernon Hills, IL, with 7 years of industry experience. Chase 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

945 Lakeview Parkway, Suite 114, Vernon Hills, IL, 60061

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History

Regulatory History (1)
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Criminal
May 2011
Final Disposition
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Chase is a financial professional at RMG Financial Services Inc. DBA Gauthier Wealth Partners since July 2023. This takes about a full-time commitment.

Employment History
Current Registrations
Cetera Investment Advisers LLC
July 2023 - Present · 3 yrs 3 mos
Cetera Wealth Services, LLCBroker
March 2022 - Present · 4 yrs 7 mos
Previous Registrations
Cetera Financial Specialists LLCBroker
March 2022 - July 2023 · 1 yr 4 mos
Cetera Advisors LLCBroker
March 2022 - July 2023 · 1 yr 4 mos
Cetera Investment Services LLCBroker
March 2022 - July 2023 · 1 yr 4 mos
First Allied Securities, INC.Broker
March 2022 - September 2022 · 6 mos
Gwfs Equities, INC.Broker
February 2020 - July 2021 · 1 yr 5 mos
Advised Assets Group, LLC
January 2020 - July 2021 · 1 yr 6 mos
Oppenheimerfunds Distributor, INC.Broker
July 2017 - June 2019 · 1 yr 11 mos
State Registrations13 states
AZCACTDCFLILINMITNTXVAWAWI
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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