Robert M. Gauthier
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Michael Gauthier, who also goes by Guido Gauthier, was a registered financial advisor .
Robert is a previously registered financial advisor and started their career in finance in 1992. Robert had worked at 3 firms and has passed the Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 9, 2002 - December 31, 2002
EASTERN POINT ADVISORS INC.
January 21, 2000 - December 31, 2002
INVESTORS CAPITAL CORP.
March 4, 1997 - December 31, 1999
NLBS ADVISERS, INC.
May 8, 1992 - December 31, 1996
NLBS ADVISERS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current firm
No current employment
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.
