Philip Vanpelt Gauntlett

Current Employers

Cetera Investment Advisers Llc

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2021-10-27
FL	RA	APPROVED	2014-08-22

TX RA
APPROVED_RES

Since 2021-10-27
FL RA
APPROVED

Since 2014-08-22

Branch Locations

4401 Manatee Avenue West, Bradenton, FL 34209 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Regions Bank	Bradenton	FL	08/2014	Present
Cetera Investment Advisers Llc	Bradenton	FL	08/2014	Present
Cetera Investment Services Llc	St.CLoud	MN	08/2014	Present

08/2014 → Present

Regions Bank

Bradenton, FL
08/2014 → Present

Cetera Investment Advisers Llc

Bradenton, FL
08/2014 → Present

Cetera Investment Services Llc

St.CLoud, MN

Previous Registrations

2013-02-13 → 2014-07-17

Raymond James & Associates, Inc.

Sarasota, FL

Lakewood Ranch, FL
2011-10-26 → 2013-02-13

Morgan Keegan & Company, Llc

Sarasota, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2011-10-24
S63	Uniform Securities Agent State Law Examination	1983-08-16

S66 Uniform Combined State Law Examination

2011-10-24
S63 Uniform Securities Agent State Law Examination

1983-08-16

View on SEC IAPD

Current Employers

Cetera Investment Advisers Llc

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews