Richard T. Gatherum
ALLIANCEBERNSTEIN L.P.
Salt Lake City, UT 84101
Some features on this profile are disabled
CRD#: 7348394
Richard Tyler GatherumALLIANCEBERNSTEIN L.P.
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.
Aliases
Richard Gatherum
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.
Count: 1
1) BusinessName: WOW Windowboxes franchise
INVESTMENT RELATED: Yes, Investment Related
ADDRESS: Corporate Headquarters - 5155 Kieley Place, Cincinnati, Ohio 45217
NATURE OF BUSINESS: A WOW Windowboxes franchise is a niche home services and commercial landscaping business. Franchisees provide custom-built window box installations, seasonal floral refreshes, and automatic drip irrigation systems to both residential and commercial properties, operating on a high-retention, recurring-revenue model.
POSITION: Spouse is purchasing a franchise territory
RELATIONSHIP: 2026-06-30
APPROXIMATE NUMBER HOURS: 10 hours/month, 0 hours during trading hours
YOUR DUTIES: I will help my spouse close the books each month. My spouse will act as the CEO and will oversee business operations. Her core activities are centered around business management, local marketing, and operational logistics rather than manual labor, as the model is designed to utilize a small team of 1 to 3 trained field technicians. On a regular basis, the franchise owner manages route optimization through proprietary software, coordinates inventory and supply chain logistics with regional wholesale nurseries to source mature plants, and oversees financial health, including the collection of automated monthly subscription fees. A heavy emphasis is placed on local business development and marketing, where the franchisee conducts on-site consultations to assess structural mounting and sun exposure, pitches customized aesthetic solutions to high-value commercial clients like restaurants and retail shops, and leverages local networking and visual social media marketing to acquire residential accounts. Operationally, the franchisee ensures strict quality control over the installation of copper or composite boxes and hidden automatic drip irrigation systems, while strategically pivoting into intense three-to-four-week logistical sprints at the turn of each season—Spring, Summer, Fall, and Winter—to seamlessly execute simultaneous floral refreshes across their entire client portfolio and maintain high annual customer retention.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Tyler Gatherum'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®
CFP®
Start date: 2014
Experience
Current
March 10, 2021 - Present
ALLIANCEBERNSTEIN L.P.
Office #1: 10 W Broadway 7th Floor, Salt Lake City, UT 84101RIA
CRD#: 108477
Salt Lake City, UT
Current
May 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 84101RIA
BD
CRD#: 104474
DENVER, CO
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".
AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
RIA
Registered Investment Advisory firm - (8/13/1999 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.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(6/30/2022)
RR
California(4/27/2022)
RR
Colorado(6/16/2021)
RR
Connecticut(8/3/2022)
RR
Florida(9/11/2024)
RR
Idaho(7/12/2022)
RR
Illinois(7/27/2022)
RR
Iowa(7/27/2022)
RR
Massachusetts(12/13/2023)
RR
Michigan(8/11/2022)
RR
Minnesota(7/12/2022)
RR
Montana(6/30/2022)
RR
New York(1/14/2026)
RR
North Carolina(7/1/2022)
RR
Ohio(7/26/2022)
RR
Oregon(11/21/2023)
RR
Texas(12/15/2021)
IAR
Texas(11/29/2023)
RR
Utah(8/17/2021)
IAR
Utah(3/23/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/28/2021
General Securities Representative ExaminationSRO Registrations
RR
FINRA
Current Firm
AL
ALLIANCEBERNSTEIN L.P.
ALLIANCE CAPITAL MANAGEMENT L P | ALLIANCEBERNSTEIN L.P.
CRD#: 108477 / SEC#: 801-56720
RIA
Registered Investment Advisory firm - (8/13/1999 Approved)Loading...
Contact information
Main Address
501 Commerce Street, Nashville, TN 37203
Mailing Address
Phone number
(615) 622-0000
Established
Firm type
Fiscal year end
# of Employees
3,994
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:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
