Jon E. Gauthier

COLARION

Greenville, SC 29601

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CRD#: 5397385

Professional summary

Jon E Gauthier, CFP® is a registered financial advisor currently at COLARION located in Greenville, South Carolina.

Jon is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Jon has worked at 7 firms and has passed the Series 66, SIE and Series 7 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.

OTHER OUTSIDE BUSINESS ACTIVITIES ; AUTHOR OF BOOK ON FAITH, "EMBRACING GOODNESS"; SOLE PROPRIETORSHIP ; AUTHORED BOOK SEVERAL YEARS AGO. MY PASTOR ASKED ME TO PUBLISH IT AND SHARE WITH MY FELLOW PARISHIONERS.; I AM THE AUTHOR OF "EMBRACING GOODNESS."; CHARLOTTE, NC 28270; NO; SEPTEMBER 2011. jhh wealth llc Wealth Management INDEPENDENT CONTRACTOR GREENVILLE, SC HOURS AS NEEDED DBA: GAUTHIER WEALTH MANAGEMENT

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon E Gauthier'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: 2013

Experience

Current

January 31, 2024 - Present

COLARION

Office #1: 333 E. Coffee Street Suite, Greenville, SC 29601

RIA

CRD#: 284588

Greenville, SC

Past

September 6, 2019 - December 31, 2023

JHH WEALTH, LLC

RIA

CRD#: 153924

GREENVILLE, SC

Past

September 5, 2019 - September 23, 2024

ALLEN C. EWING & CO.

CRD#: 26102

Greenville, SC

Past

July 26, 2017 - November 26, 2018

ALLEN C. EWING & CO.

CRD#: 26102

JACKSONVILLE, FL

Past

June 19, 2017 - September 4, 2019

HAYDEN ROYAL

RIA

CRD#: 170037

CHARLOTTE, NC

Past

December 12, 2016 - May 9, 2017

VISIONQUEST WEALTH MANAGEMENT, LLC

RIA

CRD#: 135581

RALEIGH, NC

Past

May 16, 2011 - December 12, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHARLOTTE, NC

Past

May 16, 2011 - December 12, 2016

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHARLOTTE, NC

Past

November 9, 2007 - May 23, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

CHARLOTTE, NC

Past

October 22, 2007 - May 23, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

CHARLOTTE, NC

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".

COLARION

CRD#: 284588 / SEC#: 801-129369

RIA

Registered Investment Advisory firm - (1/31/2024 Approved)

Alabama

Registered Investment Advisory firm - (5/16/2024 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

Florida
(2/5/2024)

IAR

North Carolina
(1/31/2024)

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 66

Date: 11/8/2007

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2007

General Securities Representative Examination

Current Firm

COLARION

CRD#: 284588 / SEC#: 801-129369

RIA

Registered Investment Advisory firm - (1/31/2024 Approved)

Alabama

Registered Investment Advisory firm - (5/16/2024 Terminated)

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Contact information

Main Address

50 Richard Arrington Ave N., Birmingham, AL 35203

Mailing Address

1116 20th St S 111, Birmingham, AL 35203

Phone number

(205) 410-9443

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

COLARION ADV PART 2 (11/13/2025)

Regulatory assets under management

Total Number of Accounts	164
AUM (Assets Under Management)	$ 167,904,162

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

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Jon E. Gauthier

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jon E Gauthier's CRS (Customer Relationship Summary).

Certified licenses

Experience

JHH WEALTH, LLC

ALLEN C. EWING & CO.

ALLEN C. EWING & CO.

HAYDEN ROYAL

VISIONQUEST WEALTH MANAGEMENT, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

COLARION

State Registrations and Notice Filings

Exams

Series 66

Date: 11/8/2007

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2007

Current Firm

COLARION

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

COLARION

TRUST BUT VERIFY

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