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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
IL RA APPROVED 2023-06-29
TX RA APPROVED 2023-06-29
  • IL RA
    APPROVED
    Since 2023-06-29
  • TX RA
    APPROVED
    Since 2023-06-29

Branch Locations

945 Lakeview Parkway, Suite 114, Vernon Hills, IL 60061 • 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
Cetera Wealth Services, Llc El Segundo CA 01/2013 Present
Rmg Financial Services Inc. Dba Gauthier Wealth Partners Vernon Hills IL 02/2022 Present
Cetera Investment Advisers Llc Schaumburg IL 06/2023 Present
  • 01/2013 → Present
    Cetera Wealth Services, Llc
    El Segundo, CA
  • 02/2022 → Present
    Rmg Financial Services Inc. Dba Gauthier Wealth Partners
    Vernon Hills, IL
  • 06/2023 → Present
    Schaumburg, IL
Other Businesses

(1) FIXED INSURANCE PRODUCTS; LIFE, ANNUITIES, AND LTC ; (2) NAME OF OTHER BUSINESS: RMG FINANCIAL SERVICES ; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: S-CORP ; START DATE: 03/2014 ; POSITION/TITLE/RELATIONSHIP: OWNER ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: ENTITY FOR CETERA RELATED REVENUE AND EXPENSES ; (3) NAME OF OTHER BUSINESS: RMG FINANCIAL SERVICES INC. DBA GAUTHIER WEALTH PARTNERS; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 2/2022; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL ; APX NUMBER OF HOURS PER WEEK: 40 ; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 ; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES;

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1998-06-15
S63 Uniform Securities Agent State Law Examination 1997-04-21
  • S65 Uniform Investment Adviser Law Examination
    1998-06-15
  • S63 Uniform Securities Agent State Law Examination
    1997-04-21
Designations

View on SEC IAPD

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