PG
Paul K. Gautier
CARY STREET PARTNERS
AUSTIN, TX 78731
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CRD#: 4817212
PG
Professional summary
Paul Kevin Gautier SR, who also goes by Paul Kevin Gautier, is a registered financial advisor currently at CARY STREET PARTNERS located in Austin, Texas and CARY STREET PARTNERS located in Austin, Texas.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Paul has worked at 3 firms and has passed the Series 66, Series 79TO, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Paul Kevin Gautier
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) - TEACH TRANSFORM, INC (WIFE'S EDUCATIONAL PUBLISHING/CONSULTING BUSINESS), UNPAID BOARD MEMBER, LOCATION: AUSTIN TX, START DATE: 9/1/14, NOT INVESTMENT RELATED AND NO CONTROL OVER 3RD PARTY ASSETS, 0 MARKET HOURS DEVOTED AND 10 NON MARKET HOURS DEVOTED, PROVIDE BUSINESS ADVICE, COACHING AS NEEDED; SIGN DOCUMENTS OR SIGN FOR DELIVERIES IF WIFE IS OUT OF TOWN
CRS (Client Relationship Summary) - RIA
Click below to view Paul Kevin Gautier SR'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
December 6, 2013 - Present
CARY STREET PARTNERS
Office #1: 7801 Capital Of Texas Highway, Suite 310, Austin, TX 78731RIA
CRD#: 128545
AUSTIN, TX
Current
December 6, 2013 - Present
CARY STREET PARTNERS
Office #1: 7000 N. Mopac Expy Suite 150, Austin, TX 78731BD
CRD#: 128089
Austin, TX
Past
February 16, 2005 - December 9, 2013
RIVERSTONE WEALTH MANAGEMENT, INC.
RIA
CRD#: 40418
AUSTIN, TX
Past
December 16, 2004 - December 9, 2013
RIVERSTONE WEALTH MANAGEMENT, INC.
BD
CRD#: 40418
AUSTIN, TX
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".
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)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(12/12/2018)
RR
Arkansas(12/12/2018)
RR
California(12/6/2013)
RR
Colorado(12/6/2013)
RR
Illinois(6/5/2018)
RR
Kentucky(5/25/2016)
RR
Louisiana(12/12/2018)
RR
Nevada(4/30/2014)
RR
New Mexico(4/30/2014)
RR
North Carolina(4/7/2016)
IAR
North Carolina(1/22/2019)
RR
Oklahoma(12/12/2018)
RR
Oregon(12/12/2018)
RR
Pennsylvania(12/12/2018)
RR
South Carolina(1/14/2023)
RR
Texas(12/6/2013)
IAR
Texas(12/6/2013)
RR
Virginia(3/15/2018)
IAR
Virginia(1/8/2019)
RR
Washington(12/12/2018)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CS
CARY STREET PARTNERS
CARY STREET PARTNERS | WAYPOINT ADVISORS | VIKING WEALTH ADVISERS | CARY STREET PARTNERS INVESTMENT ADVISORY, LLC | CARY STREET PARTNERS INVESTMENT ADVISORY LLC
CRD#: 128545 / SEC#: 801-64239
RIA
Registered Investment Advisory firm - (8/12/2005 Approved)Virginia
Registered Investment Advisory firm - (3/2/2007 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
901 East Byrd Street Suite 1001, Richmond, VA 23219
Mailing Address
Phone number
(804) 340-8100
Established
Firm type
Fiscal year end
# of Employees
166
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,853 |
| AUM (Assets Under Management) | $ 8,263,891,736 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/22/2024 | ||
| 07/25/2023 | ||
| 01/27/2023 |
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.
