RG
Robert M. Gauthier
CETERA INVESTMENT ADVISERS LLC
VERNON HILLS, IL 60061
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CRD#: 1213274
RG
Professional summary
Robert Michael Gauthier, AIF®, CFP® is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Vernon Hills, Illinois and CETERA WEALTH SERVICES, LLC located in Vernon Hills, Illinois.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
What are your service offerings?
Employee and Employer Plan Ben...
Insurance Planning
Investment Planning
Estate Planning
Retirement Planning
Comprehensive Financial Planni...
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) FIXED INSURANCE PRODUCTS; LIFE, ANNUITIES, AND LTC ; (2) NAME OF OTHER BUSINESS: RMG FINANCIAL SERVICES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: S-CORP ; START DATE: 03/2014 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: ENTITY FOR CETERA RELATED REVENUE AND EXPENSES ; (3) NAME OF OTHER BUSINESS: RMG FINANCIAL SERVICES INC. DBA GAUTHIER WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;
CRS (Client Relationship Summary) - RIA
Click below to view Robert Michael Gauthier's 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®
CFP®
Start date: 2016
Experience
Current
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #1: 945 Lakeview Parkway, Suite 114, Vernon Hills, IL 60061RIA
CRD#: 105644
VERNON HILLS, IL
Current
August 2, 2006 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 945 Lakeview Parkway, Suite 114, Vernon Hills, IL 60061BD
CRD#: 13572
Vernon Hills, IL
Past
September 14, 2006 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
LAKE ZURICH, IL
Past
January 23, 2001 - July 21, 2006
FRANKLIN/TEMPLETON DISTRIBUTORS, LLC
BD
CRD#: 332
SAN MATEO, CA
Past
July 20, 1999 - November 28, 2000
SECURITY DISTRIBUTORS
BD
CRD#: 3336
TOPEKA, KS
Past
July 3, 1985 - June 14, 1999
VP DISTRIBUTORS LLC
BD
CRD#: 3036
HARTFORD, CT
Past
November 23, 1983 - August 3, 1984
FORESTERS FINANCIAL SERVICES, INC.
BD
CRD#: 305
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
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.RR
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
RR
Arizona(5/3/2016)
RR
California(1/15/2008)
RR
Connecticut(8/2/2006)
RR
District of Columbia(5/2/2024)
RR
Florida(8/22/2008)
RR
Illinois(8/2/2006)
IAR
Illinois(6/29/2023)
RR
Indiana(9/22/2023)
RR
Michigan(3/26/2014)
RR
Ohio(1/3/2025)
RR
Tennessee(1/2/2013)
RR
Texas(6/29/2023)
IAR
Texas(6/29/2023)
RR
Virginia(10/14/2019)
RR
Washington(3/16/2012)
RR
Wisconsin(3/8/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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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)
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 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CETERA INVESTMENT ADVISERS LLC
CRD#: 105644Vernon Hills, IL 60061TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
