Ronald B. Gatti

ALLSTATE FINANCIAL ADVISORS

Tustin, CA 92780-7841

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CRD#: 1832036

Professional summary

Ronald Brian Gatti, who also goes by Ron Brian Gatti, Ron Gatti, is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Tustin, California and ALLSTATE FINANCIAL SERVICES, LLC located in Tustin, California.

Ronald is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Ronald has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51, Series 24 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ron Brian Gatti | Ron Gatti

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.

ALLSTATE INSURANCE COMPANY (RON GATTI INSURANCE SOLUTIONS LLC POSITION: Owner NATURE: Sale of insurance including approved brokerage arrangements INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 11/01/2016 ADDRESS: 13891 Newport Ave Ste 125, Tustin CA 92780-7841, United States DESCRIPTION: Management of insurance agency TRAILING COMMISSION FROM EVERLAKE, LBL, WILTON RE AND THE STANDARD POSITION: Agent NATURE: Servicing Allstate legacy business for Everlake, LBL, Wilton Re and The Standard INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 07/01/2025 ADDRESS: 13891 Newport Ave., Ste 125, Tustin CA 92780, United States DESCRIPTION: Servicing customers for Allstate Legacy Business

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Brian Gatti'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

May 30, 2013 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 13891 Newport Ave Ste 125, Tustin, CA 92780-7841

RIA

CRD#: 109524

Tustin, CA

Current

August 13, 2009 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 13891 Newport Ave Ste 125, Tustin, CA 92780-7841

CRD#: 18272

Tustin, CA

Past

December 19, 2008 - August 13, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

IRVINE, CA

Past

December 19, 2008 - August 13, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

IRVINE, CA

Past

December 12, 2008 - December 24, 2008

1ST GLOBAL CAPITAL CORP.

CRD#: 30349

DALLAS, TX

Past

August 1, 2008 - October 27, 2008

WOODBURY FINANCIAL SERVICES, INC.

RIA

CRD#: 421

TUSTIN, CA

Past

August 1, 2008 - October 27, 2008

WOODBURY FINANCIAL SERVICES, INC.

CRD#: 421

TUSTIN, CA

Past

March 22, 2001 - May 28, 2008

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

HOUSTON, TX

Past

October 24, 1997 - May 28, 2008

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

October 3, 1988 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

Past

June 22, 1988 - October 4, 1988

IDS LIFE INSURANCE COMPANY

CRD#: 6321

Past

June 22, 1988 - October 4, 1988

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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
(8/13/2009)

IAR

California
(5/30/2013)

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: 10/26/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/2/1997

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: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 2/25/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 5/22/2001

General Securities Principal Examination

Principal/Supervisory Exam

Series 26

Date: 5/10/1994

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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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Advisor Monitoring

Firm Stability Insights

Ronald B. Gatti

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ronald Brian Gatti's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

1ST GLOBAL CAPITAL CORP.

WOODBURY FINANCIAL SERVICES, INC.

WOODBURY FINANCIAL SERVICES, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/26/2002

Series 63

Date: 10/2/1997

SIE

Date: 10/1/2018

Series 7

Date: 6/18/1988

Series 51

Date: 2/25/2003

Series 24

Date: 5/22/2001

Series 26

Date: 5/10/1994

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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