Richard T. Gatherum
Professional summary
Richard Tyler Gatherum, CFP®, who also goes by Richard Gatherum, is a registered financial advisor currently at ALLIANCEBERNSTEIN L.P. located in Salt Lake City, Utah and SANFORD C. BERNSTEIN & CO., LLC located in Denver, Colorado.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Richard has worked at 2 firms and has passed the Series 63, Series 65, SIE and Series 7TO exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Tyler Gatherum's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2014
Experience
March 10, 2021 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 10 W Broadway 7th Floor, Salt Lake City, UT 84101May 4, 2021 - Present
SANFORD C. BERNSTEIN & CO., LLC
Office #1: 1400 16th Street Suite 450, Denver, CO 80202Office #2: 10 W Broadway 7th Floor Office 013, Salt Lake City, UT 84101Primary Firm SEC Registration
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/30/2022)
(4/27/2022)
(6/16/2021)
(8/3/2022)
(9/11/2024)
(7/12/2022)
(7/27/2022)
(7/27/2022)
(12/13/2023)
(8/11/2022)
(7/12/2022)
(6/30/2022)
(1/14/2026)
(7/1/2022)
(7/26/2022)
(11/21/2023)
(12/15/2021)
(11/29/2023)
(8/17/2021)
(3/23/2023)
Exams
Series 7TO
Date: 4/28/2021
General Securities Representative ExaminationFINRA
Current Firm
ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
Contact information
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 68,593 |
| AUM (Assets Under Management) | $ 709,162,000,000 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/19/2025 | ||
| 11/25/2024 | ||
| 10/27/2023 |
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.
Company Information
ALLIANCEBERNSTEIN L.P.
CRD#: 108477Salt Lake City, UT 84101TRUST BUT VERIFY
Monitor Richard Gatherum
Get automatic monthly alerts on:
