Richard A. Gartelmann

RIVER STREET ADVISORS

Aurora, IL 60506

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CRD#: 2611847

Professional summary

Richard A. Gartelmann JR., CFP®, who also goes by Richard A Gartelmann, Richard Allen Gartelmann Jr, Richard Allen Gartelmann, is a registered financial advisor currently at RIVER STREET ADVISORS, LLC located in Aurora, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1997. Richard has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 87, Series 86 and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning

Comprehensive Financial Planni...

Estate Planning

Investment Planning

Insurance Planning

Are you a "fiduciary"?

Yes

Aliases

Richard A Gartelmann | Richard Allen Gartelmann Jr | Richard Allen Gartelmann

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. 01/05/2015-OLD SECOND WEALTH MANAGEMENT/DBA FOR LPL BUSINESS (ENTITY FOR LPL BUSINESS)/AURORA,IL 2. 01/05/2015-OLD SECOND WEALTH MANAGEMENT/FINANCIAL INSTITUTION DUTY/1. SENIOR VICE PRESIDENT, MANAGE CLIENT RELATIONSHIPS FOR TRUST ACCOUNTS. 2. YES 3. NO 4. TRUST SERVICES AND INVESTMENT MANAGEMENT SERVICE/75%/37 S RIVER ST, AURORA, IL 50506

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard A. Gartelmann JR.'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

December 12, 2011 - Present

RIVER STREET ADVISORS, LLC

Office #1: 37 S. River Street, Aurora, IL 60506

RIA

CRD#: 153537

Aurora, IL

Past

February 18, 2015 - March 14, 2016

LPL FINANCIAL LLC

CRD#: 6413

AURORA, IL

Past

January 5, 2015 - March 14, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

AURORA, IL

Past

October 13, 2011 - January 2, 2013

LPL FINANCIAL LLC

RIA

CRD#: 6413

AURORA, IL

Past

October 13, 2011 - January 2, 2013

LPL FINANCIAL LLC

CRD#: 6413

AURORA, IL

Past

February 24, 2010 - June 8, 2012

GENEVA ADVISORS, LLC

RIA

CRD#: 121629

CHICAGO, IL

Past

February 14, 2007 - February 25, 2010

LPL FINANCIAL LLC

RIA

CRD#: 6413

LISLE, IL

Past

February 14, 2007 - February 25, 2010

LPL FINANCIAL LLC

CRD#: 6413

LISLE, IL

Past

February 2, 2004 - January 16, 2007

FELDMAN SECURITIES GROUP L.L.C.

RIA

CRD#: 39385

CHICAGO, IL

Past

February 2, 2004 - January 16, 2007

FELDMAN SECURITIES GROUP L.L.C.

CRD#: 39385

CHICAGO, IL

Past

February 14, 2001 - January 27, 2004

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

RIA

CRD#: 109701

BLUE ISLAND, IL

Past

September 15, 1999 - January 23, 2004

LASALLE ST SECURITIES, L.L.C.

CRD#: 7191

ELMHURST, IL

Past

October 15, 1997 - October 11, 1999

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

June 23, 1997 - October 1, 1997

INSIGHT SECURITIES, INC.

CRD#: 5611

HIGHLAND PARK, IL

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".

RIVER STREET ADVISORS, LLC

OLD SECOND WEALTH MANAGEMENT | RIVER STREET ADVISORS, LLC

CRD#: 153537 / SEC#: 801-119750

RIA

Registered Investment Advisory firm - (11/9/2020 Approved)

Illinois

Registered Investment Advisory firm - (3/5/2021 Terminated)

Indiana

Registered Investment Advisory firm - (11/19/2018 Terminated)

Texas

Registered Investment Advisory firm - (11/13/2020 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Illinois
(12/12/2011)

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/4/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/26/1997

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 6/28/2005

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 86

Date: 6/14/2005

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 7

Date: 6/20/1997

General Securities Representative Examination

Current Firm

RIVER STREET ADVISORS, LLC

OLD SECOND WEALTH MANAGEMENT | RIVER STREET ADVISORS, LLC

CRD#: 153537 / SEC#: 801-119750

RIA

Registered Investment Advisory firm - (11/9/2020 Approved)

Illinois

Registered Investment Advisory firm - (3/5/2021 Terminated)

Indiana

Registered Investment Advisory firm - (11/19/2018 Terminated)

Texas

Registered Investment Advisory firm - (11/13/2020 Terminated)

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Contact information

Main Address

37 S. River Street, Aurora, IL 60506

Mailing Address

Phone number

(630) 906-5501

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIVER STREET ADVISORS BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	937
AUM (Assets Under Management)	$ 414,893,361

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.

Contact information

xxxxx@xxxx.xxx

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Advisor Monitoring

Firm Stability Insights

Richard A. Gartelmann

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard A. Gartelmann JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

GENEVA ADVISORS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

FELDMAN SECURITIES GROUP L.L.C.

FELDMAN SECURITIES GROUP L.L.C.

LASALLE ST. INVESTMENT ADVISORS, L.L.C.

LASALLE ST SECURITIES, L.L.C.

CETERA INVESTMENT SERVICES LLC

INSIGHT SECURITIES, INC.

Primary Firm SEC Registration

RIVER STREET ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/4/1999

Series 63

Date: 6/26/1997

SIE

Date: 3/14/2016

Series 87

Date: 6/28/2005

Series 86

Date: 6/14/2005

Series 7

Date: 6/20/1997

Current Firm

RIVER STREET ADVISORS, LLC

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVER STREET ADVISORS, LLC

TRUST BUT VERIFY

Contact information

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