John Michael Gautreaux

Current Employers

Employment History

• 07/2001 → Present
  Beaulieu Financical Group
  Warwick, RI
• 11/2018 → Present
  Osaic Wealth, Inc.
  Warwick, RI

Previous Registrations

• 2002-05-06 → 2018-11-02
  Signator Investors, Inc.
  Warwick, RI
  Warwick, RI

Other Businesses

1. JOHN GAUTREAUX POSITION: Broker NATURE: Commissions earned from providing group employee benefits to employers (e.g. Group Life, Health, Disability) INVESTMENT RELATED: Yes NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 8 START DATE: 01/01/2002 ADDRESS: 935 Jefferson Blvd., Suite 200, Warwick RI 02886, United States DESCRIPTION: Represent employers for Group Life, Health and Disability 2. INDEPENDENCE FINANCIAL PARTNERS POSITION: Broker NATURE: Sole Prop Broker for Business Health Insurance for small employers. INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2002 ADDRESS: 935 Jefferson Blvd., Suite 200, Warwick RI 02886, United States DESCRIPTION: Health broker for small businesses. Review renewals/options annually as needed. Companies represented: BlueCross, United, Health Source RI, Neighborhood Health Plans 3. INDEPENDENCE FINANCIAL PARTNERS POSITION: Broker NATURE: Sole Prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/01/2002 ADDRESS: 935 Jefferson Blvd., Suite 200, Warwick RI 02886, United States DESCRIPTION: Broker for small business benefits including group life/disability. 4. INDEPENDENCE FINANCIAL PARTNERS POSITION: Insurance Agent NATURE: Sole Prop INVESTMENT RELATED: Yes NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 4 START DATE: 01/01/2002 ADDRESS: 935 Jefferson Blvd., Suite 200, Warwick RI 02886, United States DESCRIPTION: Individual sale of annuities, life, long term care and disability insurance. 5. INDEPENDENT ADVISORS LLC POSITION: Owner NATURE: Created largely for the purposes of separating business from personal expenses including how I will be paid going forward. No current plans to use this LLC for outside business. If that changes, I will update my OBA. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2023 ADDRESS: 935 Jefferson Blvd., Suite 200, Warwick RI 02886, United States DESCRIPTION: See comments above. No actual duties other than using this to separate expenses, track income and provide compensation.

Exams

• S65 Uniform Investment Adviser Law Examination
  2002-02-26
• S63 Uniform Securities Agent State Law Examination
  2001-07-30

Designations