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Chase Andrew Gauthier
Chase Gauthier, chase Andrew gauthier
CRD#: 6764929
IA
Investment Adviser
B
Broker
CETERA INVESTMENT ADVISERS LLCCRD#: 105644 945 LAKEVIEW PARKWAY, SUITE 114
VERNON HILLS, IL 60061
CETERA ADVISOR NETWORKS LLCCRD#: 13572 Miami, FL
Registration History
201220142016201820202022202420262 FIRMS2020 - 2021 (1 year)3 FIRMS2022 - 2023 (1 year)IACETERA INVESTMENT ADVISERS LLC (CRD# 105644)2023 - Present (1 year)BCETERA ADVISOR NETWORKS LLC (CRD# 13572)2022 - Present (2 years)BFIRST ALLIED SECURITIES, INC. (CRD# 32444)2022 - 2022 (<1 year)BOPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD# 7834)2017 - 2019 (1 year)
Disclosure(s)
View By:
5/30/2011
Criminal
Final Disposition
License(s)

State Registrations

B
Arizona 7/26/2023

B
Michigan 7/18/2023

B
California 3/18/2022

B
Tennessee 1/9/2024

B
Connecticut 7/17/2023

B
Texas 7/14/2023

B
District of Columbia 5/9/2024

IA
Texas 9/1/2023

B
Florida 7/17/2023

B
Virginia 7/7/2023

IA
Florida 2/5/2024

B
Washington 8/25/2023

B
Illinois 3/22/2022

B
Wisconsin 7/17/2023

B
Indiana 9/25/2023

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CETERA INVESTMENT ADVISERS LLC (CRD#:105644)
945 LAKEVIEW PARKWAY, SUITE 114, VERNON HILLS, IL 60061
1717 N BAYSHORE DR., PH-C41, MIAMI, FL 33132
Registered with this firm since 7/11/2023

B
CETERA ADVISOR NETWORKS LLC (CRD#:13572)
Miami, FL
Registered with this firm since 3/18/2022

Previous Registration(s)
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B
03/18/2022 - 07/06/2023 CETERA ADVISORS LLC (CRD#:10299) GREENWOOD VILLAGE, CO
B
03/18/2022 - 07/06/2023 CETERA FINANCIAL SPECIALISTS LLC (CRD#:10358) SCHAUMBURG, IL
B
03/18/2022 - 07/06/2023 CETERA INVESTMENT SERVICES LLC (CRD#:15340) ST. CLOUD, MN
B
03/18/2022 - 09/08/2022 FIRST ALLIED SECURITIES, INC. (CRD#:32444) SAN DIEGO, CA
IA
01/31/2020 - 07/23/2021 ADVISED ASSETS GROUP, LLC (CRD#:112058) GREENWOOD VILLAGE, CO
B
02/06/2020 - 07/23/2021 GWFS EQUITIES, INC. (CRD#:13109) GREENWOOD VILLAGE, CO
B
07/19/2017 - 06/03/2019 OPPENHEIMERFUNDS DISTRIBUTOR, INC. (CRD#:7834) CENTENNIAL, CO
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.