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Brent Bernard Gottier

Investment Adviser Representative at OSAIC ADVISORY SERVICES, LLC

Windsor, CTCRD #1329980Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
41 yrs
States Registered
18 states
Exams Passed
14

Registrations & licenses

Registration type
Dual-registered
Registered in 18 states
ArizonaCaliforniaConnecticutFloridaGeorgiaMaineMarylandMassachusettsNew HampshireNew MexicoNew YorkNorth CarolinaRhode IslandSouth CarolinaTexasUtahVermontVirginia
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 1/5/1996
Series 63
Uniform Securities Agent State Law Examination
Passed 1/30/1985
Series 99
Operations Professional Examination
Passed 1/2/2023
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 1/2/2023
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 3
National Commodity Futures Examination
Passed 3/5/1985
Series 7
General Securities Representative Examination
Passed 1/19/1985
Series 9
General Securities Sales Supervisor - Options Module Examination
Passed 1/2/2023
Series 28
Introducing Broker/Dealer Financial Operations Principal Examination
Passed 1/2/2023
Series 10
General Securities Sales Supervisor - General Module Examination
Passed 1/2/2023
Series 27
Financial and Operations Principal Examination
Passed 11/25/1996
Series 4
Registered Options Principal Examination
Passed 10/8/1996
Series 8
General Securities Sales Supervisor Examination (Options Module & General Module)
Passed 3/10/1995
Series 24
General Securities Principal Examination
Passed 11/28/1990

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Source

Osaic Advisory Services, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

OSAIC ADVISORY SERVICES, LLCCurrent
11/8/2024Windsor, CT
ARBOR POINT ADVISORS
11/6/202011/8/2024Windsor, CT
KMS FINANCIAL SERVICES, INC
7/10/201911/6/2020Windsor, CT
CETERA ADVISORS LLC
2/28/20127/11/2019Windsor, CT
PACIFIC WEST FINANCIAL CONSULTANTS INC
10/13/20062/28/2012Renton, WA
MERRILL LYNCH PIERCE FENNER & SMITH INC.
3/8/200610/13/2006Glastonbury, CT
ADVEST, INC.
7/17/20013/8/2006Windsor, CT

Official records & sources

Data as of August 9, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Brent Bernard Gottier has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.

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Brent Bernard Gottier - Financial Advisor in Windsor, CT | AdvisorFinder