Philip V. Gauntlett

CETERA INVESTMENT ADVISERS LLC

BRADENTON, FL 34209

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CRD#: 1122000

Professional summary

Philip Vanpelt Gauntlett is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Bradenton, Florida and CETERA INVESTMENT SERVICES LLC located in New Port Richey, Florida.

Philip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Philip has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.OWNER OF A RENTAL CABIN; BROTHER RENTS OUT CABIN AND RESPONSIBILITIES INCLUDE UPKEEP AND UTILITIES. 2. SUCCESSOR CO-TRUSTEE ON INLAWS TRUST WITH OTHER SON-IN-LAW AND SON.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Vanpelt Gauntlett'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®

None

Experience

Current

August 22, 2014 - Present

CETERA INVESTMENT ADVISERS LLC

Office #1: 4401 Manatee Avenue West, Bradenton, FL 34209

RIA

CRD#: 105644

BRADENTON, FL

Current

August 18, 2014 - Present

CETERA INVESTMENT SERVICES LLC

Office #1: 6335 Us Hwy 19, New Port Richey, FL 34652Office #2: 4401 Manatee Avenue West, Bradenton, FL 34209

CRD#: 15340

New Port Richey, FL

Past

February 13, 2013 - July 17, 2014

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

LAKEWOOD RANCH, FL

Past

February 13, 2013 - July 17, 2014

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

LAKEWOOD RANCH, FL

Past

October 26, 2011 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

RIA

CRD#: 4161

SARASOTA, FL

Past

August 31, 2011 - February 13, 2013

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

SARASOTA, FL

Past

November 30, 1983 - November 7, 1990

PFS INVESTMENTS INC.

CRD#: 10111

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 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

Alabama
(12/12/2024)

Colorado
(12/3/2020)

Delaware
(8/28/2017)

Florida
(8/18/2014)

IAR

Florida
(8/22/2014)

Georgia
(2/7/2022)

Indiana
(3/27/2025)

Kentucky
(4/24/2023)

Maryland
(2/25/2021)

Michigan
(12/2/2022)

Missouri
(2/13/2015)

Ohio
(9/26/2023)

Oregon
(5/2/2019)

Pennsylvania
(4/11/2022)

Puerto Rico
(9/20/2019)

South Carolina
(2/8/2023)

Texas
(10/26/2021)

IAR

Texas
(10/27/2021)

Virginia
(8/18/2014)

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 66

Date: 10/24/2011

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/16/1983

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: 8/30/2011

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/29/1983

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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.

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Philip V. Gauntlett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Philip Vanpelt Gauntlett's CRS (Customer Relationship Summary).

Certified licenses

Experience

CETERA INVESTMENT SERVICES LLC

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MORGAN KEEGAN & COMPANY, LLC

MORGAN KEEGAN & COMPANY, LLC

PFS INVESTMENTS INC.

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/24/2011

Series 63

Date: 8/16/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/30/2011

Series 6

Date: 11/29/1983

FINRA

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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