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RIA / WealthAdvisordual registered (broker-dealer)41 years in industry

BRENT BERNARD GOTTIER

Advisor at OSAIC ADVISORY SERVICES, LLC

Windsor, CT

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Search this name across graphsid dfx:ria:cc66ea11-692a-c58b-91d1-cb79807df7ca

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 12:32 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Jul 17, 2001 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: OSAIC ADVISORY SERVICES, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 30, 1985earliest registration or exam on IAPD
Years in industry: 41derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 4
Exams: S63|S65
First exam: Jan 30, 1985
First registration: Jul 17, 2001
Dual registered: yes, broker-dealer
IAPD individual key: 1329980

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
OSAIC ADVISORY SERVICES, LLC	Bd affiliated wealth	Nov 8, 2024	n/a	yes	Windsor, CT	Current employment
ARBOR POINT ADVISORS	Former SEC adviser	Nov 6, 2020	Nov 8, 2024	no	WINDSOR, CT	Previous registration
KMS FINANCIAL SERVICES, INC	Former SEC adviser	Jul 10, 2019	Nov 6, 2020	no	Windsor, CT\|SEATTLE, WA\|SEATTLE, WA	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Feb 28, 2012	Jul 11, 2019	no	WINDSOR, CT	Previous registration
PACIFIC WEST FINANCIAL CONSULTANTS INC	Former SEC adviser	Oct 13, 2006	Feb 28, 2012	no	RENTON, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Mar 8, 2006	Oct 13, 2006	no	GLASTONBURY, CT\|WINDSOR, CT	Previous registration
ADVEST, INC.	n/a	Jul 17, 2001	Mar 8, 2006	no	WINDSOR, CT\|HARTFORD, CT	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
ARBOR POINT ADVISORS	OSAIC ADVISORY SERVICES, LLC	Nov 8, 2024	Nov 8, 2024	0	Bulk transfer	Ibd to ibd
KMS FINANCIAL SERVICES, INC	ARBOR POINT ADVISORS	Nov 6, 2020	Nov 6, 2020	0	Channel change	Ibd to ibd
CETERA ADVISORS LLC	KMS FINANCIAL SERVICES, INC	Jul 11, 2019	Jul 10, 2019	-1	Firm change	Ibd to ibd
PACIFIC WEST FINANCIAL CONSULTANTS INC	CETERA ADVISORS LLC	Feb 28, 2012	Feb 28, 2012	0	Bulk transfer	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	PACIFIC WEST FINANCIAL CONSULTANTS INC	Oct 13, 2006	Oct 13, 2006	0	Firm change	Other
ADVEST, INC.	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Mar 8, 2006	Mar 8, 2006	0	Bulk transfer	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
3866:165127:WA:2020-11-06	Nov 6, 2020	Nov 6, 2020	SEATTLE, WA	Firm change
10299:3866:CT:2019-07-11	Jul 11, 2019	Jul 10, 2019	WINDSOR, CT	Firm change

Relationships

Registered with (7)

→ OSAIC ADVISORY SERVICES, LLCRegistered adviserregistration: current employment
Nov 8, 2024 to presentfactForm ADV
→ ARBOR POINT ADVISORSRegistered adviserregistration: previous registration
Nov 6, 2020 to Nov 8, 2024factForm ADV
→ KMS FINANCIAL SERVICES, INCRegistered adviserregistration: previous registration
Jul 10, 2019 to Nov 6, 2020factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Feb 28, 2012 to Jul 11, 2019factForm ADV
→ PACIFIC WEST FINANCIAL CONSULTANTS INCRegistered adviserregistration: previous registration
Oct 13, 2006 to Feb 28, 2012factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Mar 8, 2006 to Oct 13, 2006factForm ADV
→ ADVEST, INC.Registered adviserregistration: previous registration
Jul 17, 2001 to Mar 8, 2006factForm ADV

Dated events

No dated event names this entity yet.