BG
Brent B. Gottier
OSAIC ADVISORY SERVICES
Windsor, CT 06095
Some features on this profile are disabled
CRD#: 1329980
BG
Professional summary
Brent Bernard Gottier is a registered financial advisor currently at OSAIC ADVISORY SERVICES, LLC located in Windsor, Connecticut and OSAIC WEALTH, INC. located in Windsor, Connecticut.
Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1985. Brent has worked at 16 firms and has passed the Series 65, Series 63, Series 99TO, Series 6TO, SIE, Series 3, Series 7, Series 9, Series 28, Series 10, Series 27, Series 4, Series 8 and Series 24 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.
GOTTIER INVESTMENTS POSITION: insurance agent NATURE: Insurance and annuity sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/16/2020 ADDRESS: 14 Maple Avenue, Windsor CT 06095 DESCRIPTION: occasional sale of life insurance or annuity to existing clients or prospects when appropriate LIFE SALES- AS AGENT POSITION: licensed life agent NATURE: life and annuity sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 11/06/2020 ADDRESS: 14 Maple Avenue, Windsor CT 06095 DESCRIPTION: life and annuity BRENT GOTTIER POSITION: lic life agent NATURE: life insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 11/06/2020 ADDRESS: 14 Maple Avenue, Windsor CT 06095 DESCRIPTION: life insurance product sales DBA - Gottier Investments
CRS (Client Relationship Summary) - RIA
Click below to view Brent Bernard Gottier'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®
NoneExperience
Current
November 8, 2024 - Present
OSAIC ADVISORY SERVICES, LLC
Office #1: 14 Maple Avenue, Windsor, CT 06095RIA
CRD#: 171070
Windsor, CT
Current
June 14, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 14 Maple Avenue, Windsor, CT 06095RIA
BD
CRD#: 23131
Windsor, CT
Past
November 6, 2020 - November 8, 2024
ARBOR POINT ADVISORS
RIA
CRD#: 165127
WINDSOR, CT
Past
November 6, 2020 - June 14, 2024
SECURITIES AMERICA, INC.
BD
CRD#: 10205
Windsor, CT
Past
July 10, 2019 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
RIA
CRD#: 3866
Windsor, CT
Past
July 9, 2019 - November 6, 2020
KMS FINANCIAL SERVICES, INC.
BD
CRD#: 3866
Windsor, CT
Past
February 28, 2012 - July 11, 2019
CETERA ADVISORS LLC
RIA
CRD#: 10299
WINDSOR, CT
Past
February 28, 2012 - July 11, 2019
CETERA ADVISORS LLC
BD
CRD#: 10299
WINDSOR, CT
Past
October 13, 2006 - February 28, 2012
PACIFIC WEST FINANCIAL CONSULTANTS INC
RIA
CRD#: 108728
RENTON, WA
Past
October 6, 2006 - February 28, 2012
PACIFIC WEST SECURITIES, INC.
BD
CRD#: 6390
WINDSOR, CT
Past
March 8, 2006 - October 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
GLASTONBURY, CT
Past
March 8, 2006 - October 13, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
GLASTONBURY, CT
Past
July 17, 2001 - March 8, 2006
ADVEST, INC.
RIA
CRD#: 10
WINDSOR, CT
Past
July 6, 2001 - March 8, 2006
ADVEST, INC.
BD
CRD#: 10
WINDSOR, CT
Past
June 26, 2000 - July 9, 2001
WEBSTER INVESTMENT SERVICES, INC.
BD
CRD#: 46588
KENSINGTON, CT
Past
April 25, 1997 - June 23, 2000
MECHANICS INVESTMENT SERVICES, INC.
BD
CRD#: 42738
HARTFORD, CT
Past
December 12, 1994 - July 17, 1997
APEX CLEARING CORPORATION
BD
CRD#: 13071
DALLAS, TX
Past
April 30, 1991 - December 13, 1994
INTESA SANPAOLO IMI SECURITIES CORP.
BD
CRD#: 19418
NEW YORK, NY
Past
February 27, 1990 - April 30, 1991
MABON, NUGENT & CO.
BD
CRD#: 2617
Past
January 29, 1985 - March 17, 1990
LEHMAN BROTHERS INC.
BD
CRD#: 7506
NEW YORK, NY
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".
OA
OSAIC ADVISORY SERVICES, LLC
2020 WEALTH MANAGEMENT GROUP | ROBARE & JONES WEALTH MANAGEMENT | RIVERTOWN INVESTMENT ADVISORS | RIVER ROCK WEALTH ADVISORY | RIGHT FINANCIAL ADVISOR | RETIREMENT PLAN SERVICE ADVISOR | RED CEDAR WEALTH ADVISORS | RD FINANCIAL | PROFITABLE FINANCIAL STRATEGIES | PROFESSIONAL PLANNING & WEALTH, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PLATINUM BRIDGE WEALTH STRATEGIES | PLACE FINANCIAL ADVISORS | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
CRD#: 171070 / SEC#: 801-80075
RIA
Registered Investment Advisory firm - (7/17/2014 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(6/14/2024)
RR
California(6/14/2024)
RR
Connecticut(6/14/2024)
IAR
Connecticut(11/8/2024)
RR
Florida(6/14/2024)
IAR
Florida(11/8/2024)
RR
Georgia(6/14/2024)
RR
Maine(6/14/2024)
RR
Maryland(6/14/2024)
RR
Massachusetts(6/14/2024)
IAR
Massachusetts(12/5/2024)
RR
New Hampshire(12/17/2024)
RR
New Mexico(9/15/2025)
RR
New York(6/14/2024)
RR
North Carolina(6/14/2024)
RR
Rhode Island(6/14/2024)
RR
South Carolina(12/16/2024)
RR
Texas(6/14/2024)
IAR
Texas(11/8/2024)
RR
Utah(6/14/2024)
RR
Vermont(6/14/2024)
RR
Virginia(6/14/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 3/10/1995
General Securities Sales Supervisor Examination (Options Module & General Module)Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
OA
OSAIC ADVISORY SERVICES, LLC
2020 WEALTH MANAGEMENT GROUP | ROBARE & JONES WEALTH MANAGEMENT | RIVERTOWN INVESTMENT ADVISORS | RIVER ROCK WEALTH ADVISORY | RIGHT FINANCIAL ADVISOR | RETIREMENT PLAN SERVICE ADVISOR | RED CEDAR WEALTH ADVISORS | RD FINANCIAL | PROFITABLE FINANCIAL STRATEGIES | PROFESSIONAL PLANNING & WEALTH, LLC | PROCEL FINANCIAL | PRESTIGE WEALTH MANAGEMENT | PLATINUM BRIDGE WEALTH STRATEGIES | PLACE FINANCIAL ADVISORS | PINNACLE ASCENT WEALTH MANAGEMENT | PILLAR FINANCIAL ADVISORS | PIERSON FINANCIAL GROUP | PFS CAPITAL MANAGEMENT, LLC | PFS CAPITAL MANAGEMENT | PEAK WEALTH MANAGEMENT, LLC | PEAK WEALTH MANAGEMENT | PARSONS INVESTMENTS | PAPA WEALTH MANAGEMENT | PADDEN FINANCIAL SERVICES | OSAIC ADVISORY SERVICES, LLC | OSAIC ADVISORS | ONMARK ASSET MANAGEMENT | OCEAN CREST | NW INVESTMENT AND RETIREMENT GROUP | NORTHWEST INVESTMENT & RETIREMENT GROUP | NORTHWEST CAPITAL | NORTHSTAR WEALTH MANAGEMENT | NORTHSTAR ADVISORY GROUP | NORTHRIVER FINANCIAL GROUP, LLC | NORTH SHORE WEALTH MANAGEMENT ADVISORS | NIEMI FINANCIAL SERVICES | MORGAN CAPITAL SOLUTIONS, LLC | MOORE WEALTH MANAGEMENT | MOONEY LYONS FINANCIAL ADVISORS | MICHIGAN 401K CONSULTANTS | MFR | MCM INVESTOR SERVICES | MC2 WEALTH SOLUTIONS, LLC | LIFE WELL LIVED FINANCIAL GROUP | LIFE WELL LIVED | LEVEQUE FINANCIAL SERVICES | LEGACY WEALTH MANAGEMENT | LEGACY CAPITAL MANAGEMENT | LEGACY ADVISORY GROUP | LEA FINANCIAL GROUP | LARSON FINANCIAL SERVICES | LAKEVIEW ASSET MANAGEMENT | KRONOS WEALTH MANAGEMENT | KONTY FINANCIAL SERVICES | KOLEY FINANCIAL / LEGAL | KERINS HENDRICKSON WEALTH MANAGEMENT | KARL J. KORADE, CPA CDFA | KAMPSTRA WEALTH MANAGEMENT | JUSTABOUT WEALTH MANAGEMENT LLC | JUSTABOUT WEALTH | JOTKOFF FINANCIAL SERVICES, INC | JOBIN FINANCIAL | IRONWOOD FAMILY WEALTH ADVISORS | IRONSIGHT WEALTH MANAGEMENT LLC. | INVESTMENT DESIGNERS, INC. (BROOKFIELD) | INVESTMENT DESIGNERS, INC. | INDICON, INC. | INDICON, INC | INCOMEMAX, LLC | HIGHLAND CAPITAL BROKERAGE | HERSHEY WEALTH ADVISORS | HERMANN FINANCIAL SERVICES, INC. | HERMANN FINANCIAL SERVICES, INC | HERMANN FINANCIAL | HERITAGE PRIVATE WEALTH MANAGEMENT | HEAD INVESTMENT PARTNERS | HAMMERSTROM WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMENT | HACHEY WEALTH MANAGEMEN | GUGGER ASSET MANAGEMENT | GREEN VALLEY FINANCIAL | GOTTIER INVESTMENTS | GLEASON FINANCIAL GROUP | GL CAPITAL | GEORGE W. HOOK III FINANCIAL SERVICES | GENEVA WEALTH MANAGEMENT | GAULDEN & ASSOCIATES | G&P FINANCIAL | FULL CIRCLE WEALTH MANAGEMENT | FRIERSON CAPITAL MANAGEMENT | FREEDOM POINT FINANCIAL | FORTRESS WEALTH ADVISORS | FIRST CHOICE FINANCIAL | FINEST FINANCIAL GROUP | FINANCIAL SOLUTIONS | FINANCIA ADVISORS | FIDUCIARY FINANCIAL SERVICES | FIDUCIARY FINANCIAL SERVICE | EMPOWER WEALTH MANAGEMENT | EMICO ADVISORY SERVICES | EMERALD CITY FIDUCIARY GROUP | EM FINANCIAL | ECHELON GROUP | EAST COAST ADVISORY | DUO WEALTH ADVISORS, LLC | DUO WEALTH | DUNHAM & DEITEL WEALTH MANAGEMENT | DIAMOND FINANCIAL PARTNERS | DELTA FINANCIAL GROUP (DFG) | DELMARVA FINANCIAL GROUP | DARWISH FINANCIAL | DANIELS FINANCIAL SERVICES | CVACH FINANCIAL SERVICES | CTM WEALTH ADVISORS | CTM FINANCIAL GROUP, LLC | CREATIVE FINANCIAL PARTNERS | CLEARVIEW FINANCIAL, LLC | CLARITY FINANCIAL ADVISORS | CLARITY CAPITAL MANAGEMENT | CITY FIDUCIARY GROUP | CHITWOOD WEALTH MANAGEMENT | CHESTNUT FINANCIAL GROUP | CAPITAL & BUSINESS PLANNING | CANTRILL FINANCIAL GROUP LLC | CADENT WEALTH MANAGEMENT | CA FINANCIAL SERVICES | BRUCO INVESTMENT GROUP | BRODE FINANCIAL GROUP | BRIGGS FINANCIAL SERVICES | BRAND & CO. 401(K) ADVISORS | BOKEH FINANCIAL, LLC | BLUEGRASS LEGACY GROUP | BLUE WATERS WEALTH ADVISORS | BLOOMFIELD HILLS ADVISORY | BLAKE GALLION, CFP | BLACK STONE PARTNERS, LLC | BEACON BALANCED WEALTH | BASECAMP INVESTMENTS | BARONS FINANCIAL STRATEGIES INC. | BAIKIE AND ALCANTARA | ASCENT FINANCIAL GROUP | ARMSTRONG FINANCIAL PARTNERS | ARM WEALTH MANAGEMENT | ARGENT BRIDGE ADVISORS | ARBOR GROUP ADVISORS | ANNA C. WINSLOW, CPA | AMERICAN PORTFOLIOS FINANCIAL SERVICES, INC. | ALERA GROUP | AILERON WEALTH MANAGEMENT | AIELLO WEALTH MANAGEMENT | AEON WEALTH MANAGEMENT | ADVICEPOINT, LLC | A. GAINES FINANCIAL | 76 WEALTH ADVISORY...
CRD#: 171070 / SEC#: 801-80075
RIA
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Contact information
Main Address
2300 Windy Ridge Parkway Suite 750, Atlanta, GA 30339
Mailing Address
Phone number
(866) 580-8219
Established
Firm type
Fiscal year end
# of Employees
2,594
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 47,032 |
| AUM (Assets Under Management) | $ 12,469,688,882 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 01/24/2024 | ||
| 12/21/2022 |
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.
