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Dwane Allan Gugeler

Cetera Advisors LLC

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About Dwane Allan Gugeler

Dwane Gugeler is a financial advisor at Cetera Advisors LLC. Dwane has been in the financial services industry since 1987. Dwane is registered in Florida, Idaho, Oregon, Pennsylvania and Washington. Dwan holds the Series 6 and SIE licenses and the Series 63 license.

Firm Information

Dwane Gugeler is currently registered with Cetera Advisors LLC. Cetera Advisors LLC is a Limited Liability Company formed on August 31, 2012. It is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has 14 Regulatory Event disclosures, 1 Civil Event disclosure, and 7 Arbitration disclosures on file.

Not reported

Assets Under Management

Not reported

Total Clients

467

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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Dwane Gugeler’s Registration & Firm History

WA

02/28/2012 - Present

Cetera Advisors LLC (SEATTLE WA)

WA

11/18/2010 - 02/28/2012

PACIFIC WEST SECURITIES, INC. (TACOMA WA)

WA

04/16/2008 - 11/12/2010

ROYAL ALLIANCE ASSOCIATES, INC. (TACOMA WA)

AL

10/18/2004 - 05/03/2006

AURA FINANCIAL SERVICES, INC. (BIRMINGHAM AL)

MI

02/09/2002 - 10/15/2004

SAMMONS SECURITIES COMPANY, LLC (ANN ARBOR MI)

CA

11/22/1996 - 02/09/2002

WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)

GA

06/06/1994 - 12/03/1996

WMA SECURITIES, INC. (DULUTH GA)

FL

07/23/1993 - 06/06/1994

INTERSECURITIES, INC. (ST. PETERSBURG FL)

SD

01/30/1986 - 07/27/1993

NORTH AMERICAN MANAGEMENT, INC. (SIOUX FALLS SD)

NA

12/22/1983 - 08/28/1984

FIRST AMERICAN NATIONAL SECURITIES, INC.

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Licenses & Designations

BC

Issued 07/19/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/01/1983

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Dwane Allan Gugeler.
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