Brent Bernard Gottier

Current Employers

Employment History

• 12/2012 → 07/2019
  Cetera Advisors Llc
  Denver, CO
• 07/2019 → 11/2020
  Kms Financial Services, Inc.
  Seattle, WA
• 11/2020 → 06/2024
  Securities America, Inc.
  Windsor, CT
• 11/2020 → 11/2024
  Arbor Point Advisors
  Windsor, CT
• 06/2024 → Present
  Osaic Wealth, Inc.
  Windsor, CT
• 11/2024 → Present
  Osaic Advisory Services, Llc
  Atlanta, GA

Previous Registrations

• 2020-11-06 → 2024-11-08
  Arbor Point Advisors
  Windsor, CT
• 2019-07-10 → 2020-11-06
  Kms Financial Services, Inc.
  Seattle, WA
  Windsor, CT
  Seattle, WA
• 2012-02-28 → 2019-07-11
  Cetera Advisors Llc
  Windsor, CT
• 2006-10-13 → 2012-02-28
  Pacific West Financial Consultants Inc
  Renton, WA
• 2006-03-08 → 2006-10-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Glastonbury, CT
  Windsor, CT
• 2001-07-17 → 2006-03-08
  Advest, Inc.
  Windsor, CT
  Hartford, CT

Other Businesses

GOTTIER INVESTMENTS POSITION: insurance agent NATURE: Insurance and annuity sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/16/2020 ADDRESS: 14 Maple Avenue, Windsor CT 06095 DESCRIPTION: occasional sale of life insurance or annuity to existing clients or prospects when appropriate LIFE SALES- AS AGENT POSITION: licensed life agent NATURE: life and annuity sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 11/06/2020 ADDRESS: 14 Maple Avenue, Windsor CT 06095 DESCRIPTION: life and annuity BRENT GOTTIER POSITION: lic life agent NATURE: life insurance sales INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 11/06/2020 ADDRESS: 14 Maple Avenue, Windsor CT 06095 DESCRIPTION: life insurance product sales DBA - Gottier Investments

Exams

• S65 Uniform Investment Adviser Law Examination
  1996-01-05
• S63 Uniform Securities Agent State Law Examination
  1985-01-30