Brian T. Gaertner

RIVERFRONT INVESTMENT GROUP

Thiensville, WI

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CRD#: 2729181

Professional summary

Brian Thomas Gaertner, CIMA® is a registered financial advisor currently at RIVERFRONT INVESTMENT GROUP, LLC located in Thiensville, Wisconsin and ALPS DISTRIBUTORS, INC. located in Richmond, Virginia.

Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Brian has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 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.

1. RiverFront Investment Group, LLC; Investment-Related; 1214 E Cary St Richmond, VA 23219; RIA; National Accounts Director; 08/01/2011; 40 HRS/MON; 10 HRS/MON During Trading Hours. 2. ALPS Distributors, Inc.; Investment-Related; 1290 Broadway Suite 1000 Denver, CO 80203; Broker-Dealer; Registered Representative of a Broker Dealer- Marketing/Sales for the RiverFront Funds, Distributed by ALPS; 08/01/2011; 10 HRS/MON; 10 HRS/MON During Trading Hours. 3. Whitefish Bay Gridiron Club Inc; Address on File; Investment-Related; Non-Profit Fundraising for Local Football Teams; President; 5 HRS/MON; None During Trading Hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Gaertner'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®

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 3, 2012 - Present

RIVERFRONT INVESTMENT GROUP, LLC

RIA

CRD#: 146221

Thiensville, WI

Current

August 25, 2011 - Present

ALPS DISTRIBUTORS, INC.

Office #1: 1214 E. Cary Street, Richmond, VA 23219

CRD#: 16853

Richmond, VA

Past

August 18, 2000 - August 25, 2011

ROBERT W. BAIRD & CO. INCORPORATED

RIA

CRD#: 8158

MILWAUKEE, WI

Past

August 8, 2000 - August 25, 2011

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

MILWAUKEE, WI

Past

March 29, 1996 - December 2, 1998

STRONG INVESTMENTS, INC.

CRD#: 15658

MENOMONEE FALLS, WI

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".

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

Registered Investment Advisory firm - (2/14/2008 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

IAR

Virginia
(5/3/2012)

Virginia
(5/15/2015)

Wisconsin
(8/25/2011)

IAR

Wisconsin
(11/14/2012)

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: 5/23/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/4/1996

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: 8/7/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/28/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

CRD#: 146221 / SEC#: 801-68810

RIA

Registered Investment Advisory firm - (2/14/2008 Approved)

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Contact information

Main Address

1214 East Cary Street, Richmond, VA 23219

Mailing Address

Phone number

(804) 549-4800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

RIG ADV PART 2 BROCHURE (3/27/2025)

Regulatory assets under management

Total Number of Accounts	977
AUM (Assets Under Management)	$ 1,183,036,522

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

Brian T. Gaertner

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Thomas Gaertner's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPS DISTRIBUTORS, INC.

ROBERT W. BAIRD & CO. INCORPORATED

ROBERT W. BAIRD & CO. INCORPORATED

STRONG INVESTMENTS, INC.

Primary Firm SEC Registration

RIVERFRONT INVESTMENT GROUP, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/23/2005

Series 63

Date: 4/4/1996

SIE

Date: 10/1/2018

Series 7

Date: 8/7/2000

Series 6

Date: 3/28/1996

FINRA

Current Firm

RIVERFRONT INVESTMENT GROUP, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

RIVERFRONT INVESTMENT GROUP, LLC

TRUST BUT VERIFY

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