Richard E. Clough

GATEWAY WEALTH PARTNERS

Glastonbury, CT 06033

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CRD#: 1040318

Professional summary

Richard Elliott Clough, AIF® is a registered financial advisor currently at GATEWAY WEALTH PARTNERS, LLC located in Glastonbury, Connecticut and LPL FINANCIAL LLC located in Glastonbury, Connecticut.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. 11/29/2017 - GATWAY FINANCIAL GROUP - Investment Related - Non-Variable Insurance - INSURANCE SALES - Straight Fixed Annuities, Term Insurance, LTC, Life Insurance. 2. 11/29/2017 - GATEWAY FINANCIAL PARTNERS - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date 07/20/2012 - 2 Hours Per Month.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Elliott Clough's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

AIF^®

Accredited Investment Fiduciary

Experience

Current

September 13, 2023 - Present

GATEWAY WEALTH PARTNERS, LLC

Office #1: 500 Winding Brook Dr., Glastonbury, CT 06033

RIA

CRD#: 322789

Glastonbury, CT

Current

November 29, 2017 - Present

LPL FINANCIAL LLC

Office #1: 455 Winding Brook Drive, Glastonbury, CT 06033

RIA

CRD#: 6413

Glastonbury, CT

Past

November 29, 2017 - August 31, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

FORT MILL, SC

Past

March 6, 2003 - December 5, 2017

NATIONAL PLANNING CORPORATION

RIA

CRD#: 29604

GLASTONBURY, CT

Past

February 7, 2003 - November 29, 2017

NATIONAL PLANNING CORPORATION

CRD#: 29604

GLASTONBURY, CT

Past

February 1, 1999 - February 10, 2003

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

GLASTONBURY, CT

Past

October 6, 1998 - February 10, 2003

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

May 12, 1997 - October 16, 1998

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 26, 1991 - May 22, 1997

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Past

September 10, 1990 - August 20, 1991

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

October 2, 1986 - August 30, 1990

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Past

June 16, 1986 - October 13, 1986

NEW ENGLAND SECURITIES

CRD#: 615

Past

October 6, 1982 - August 30, 1990

GREEN HILL FINANCIAL SERVICE CORPORATION

CRD#: 4882

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

GATEWAY WEALTH PARTNERS, LLC

CRD#: 322789 / SEC#: 801-126635

RIA

Registered Investment Advisory firm - (9/26/2022 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

California
(11/29/2017)

Connecticut
(11/29/2017)

IAR

Connecticut
(9/13/2023)

Florida
(11/29/2017)

Georgia
(2/23/2021)

Maine
(2/23/2021)

Massachusetts
(11/6/2024)

New Hampshire
(5/3/2023)

North Carolina
(11/29/2017)

Vermont
(11/7/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/9/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/29/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 5/20/1997

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/13/1983

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 22

Date: 5/5/1982

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

GATEWAY WEALTH PARTNERS, LLC

CRD#: 322789 / SEC#: 801-126635

RIA

Registered Investment Advisory firm - (9/26/2022 Approved)

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Contact information

Main Address

100 W. Lawrence Street Suite 304, Appleton, WI 54911

Mailing Address

Phone number

(920) 731-9293

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GATEWAY WEALTH PARTNERS, LLC WRAP PROGRAM BROCHURE (10/3/2025)

GATEWAY DISCLOSURE BROCHURE (10/3/2025)

Regulatory assets under management

Total Number of Accounts	5,702
AUM (Assets Under Management)	$ 1,249,772,416

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Richard E. Clough

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Elliott Clough's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NATIONAL PLANNING CORPORATION

NATIONAL PLANNING CORPORATION

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

LEGG MASON WOOD WALKER, INCORPORATED

BERKSHIRE EQUITY SALES, INC.

GREEN HILL FINANCIAL SERVICE CORPORATION

GREEN HILL FINANCIAL SERVICE CORPORATION

NEW ENGLAND SECURITIES

GREEN HILL FINANCIAL SERVICE CORPORATION

Primary Firm SEC Registration

GATEWAY WEALTH PARTNERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/9/1997

Series 63

Date: 11/29/1983

SIE

Date: 10/1/2018

Series 7

Date: 5/20/1997

Series 6

Date: 1/13/1983

Series 22

Date: 5/5/1982

FINRA

Current Firm

GATEWAY WEALTH PARTNERS, LLC

Contact information

SEC notice filing (31 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GATEWAY WEALTH PARTNERS, LLC

TRUST BUT VERIFY

Contact information

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