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Eric Steven Gandy

Cetera Investment Advisers LLC

Traverse City, MI

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Current Employers
Cetera Investment Advisers Llc

1450 American Lane 6Th Floor, Suite 650, Schaumburg, IL 60173-2096 • United States

Current Registrations

AuthorityCategoryStatusDate
MI RA APPROVED 2022-03-18
  • MI RA
    APPROVED
    Since 2022-03-18

Branch Locations

333 West Grandview Parkway, Traverse City, MI 49684 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Hantz Financial Services Traverse City MI 11/2014 01/2017
Jp Morgan Chase Bank Traverse City MI 01/2017 01/2018
Jp Morgan Securities Llc Traverse City MI 01/2017 01/2018
Cuso Financial Services, Lp San Diego CA 01/2018 03/2022
Independent Bank Traverse City MI 02/2022 Present
Cetera Investment Services Llc St Cloud MN 02/2022 Present
Cetera Investment Advisers Llc Traverse City MI 02/2022 Present
  • 11/2014 → 01/2017
    Hantz Financial Services
    Traverse City, MI
  • 01/2017 → 01/2018
    Jp Morgan Chase Bank
    Traverse City, MI
  • 01/2017 → 01/2018
    Jp Morgan Securities Llc
    Traverse City, MI
  • 01/2018 → 03/2022
    Cuso Financial Services, Lp
    San Diego, CA
  • 02/2022 → Present
    Independent Bank
    Traverse City, MI
  • 02/2022 → Present
    Cetera Investment Services Llc
    St Cloud, MN
  • 02/2022 → Present
    Cetera Investment Advisers Llc
    Traverse City, MI
Previous Registrations
  • 2018-01-22 → 2022-03-18
    Cuso Financial Services, L.P.
    Traverse City, MI
    Traverse City, MI
    Traverse City, MI
    San Diego, CA
    Traverse City, MI
    Traverse City, MI
    Traverse City, MI
    Charlevoix, MI
  • 2017-01-26 → 2018-01-30
    J.P. Morgan Securities Llc
    Traverse City, MI
  • 2015-05-05 → 2017-01-04
    Hantz Financial Services, Inc.
    Bay City, MI
    Traverse City, MI
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-03-13
  • S66 Uniform Combined State Law Examination
    2015-03-13

View on SEC IAPD

Other Firms

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CHARLES SCHWAB & CO., INC.
REHMANN WEALTH
G. A. REPPLE & COMPANY
INDEPENDENT WEALTH MANAGEMENT, LLC
CHERRY TREE WEALTH MANAGEMENT, LLC
PFS INVESTMENTS INC.

Other Investors

DEBORAH ANN ALICE
Kevin Edwin Dunklow
BUZ EDWARD ZAMARRON
JONATHAN B. RICKS
STEVEN AUSTIN YENSHAW
TERRY LEE FROEBER
ROBERT JOSEPH FENTON
BARBARA SUE SHELLMAN

Other Offices

STIFEL, NICOLAUS & COMPANY, INCORPORATED · TRAVERSE CITY, MI
UP NORTH FINANCIAL, LLC · TRAVERSE CITY, MI
CHARLES SCHWAB & CO., INC. · Traverse City, MI
REHMANN WEALTH · TRAVERSE CITY, MI
G. A. REPPLE & COMPANY · Traverse City, MI
INDEPENDENT WEALTH MANAGEMENT, LLC · TRAVERSE CITY, MI
CHERRY TREE WEALTH MANAGEMENT, LLC · Traverse City, MI
PFS INVESTMENTS INC. · TRAVERSE CITY, MI

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