Todd Gauthier: Truist Advisor Receives Options Complaint

Alpharetta financial advisor Todd Gauthier (CRD# 1429968) recently received an investor complaint alleging misconduct relating to an options investment. Financial Industry Regulatory Authority records show that he is a broker with Truist Investment Services and an investment advisor with Truist Advisory Services.

Mr. Gauthier’s BrokerCheck report discloses two investor complaints. The most recent, filed in May 2023, alleges “negligence and suitability issues” relating to an investment in options products while he was a representative of SunTrust Investment Services. The pending complaint alleges unspecified damages estimated to exceed $5,000.

A second investor complaint, filed in 2003, alleged that as a representative of Wachovia Securities, he failed to follow the customer’s instructions to liquidate investments and purchase certificates of deposit. The complaint alleged damages of $13,000 and was denied by the firm.

According to the Financial Industry Regulatory Authority, Todd Gauthier holds 37 years of securities. Based in Alpharetta, Georgia, he has been a broker with Truist Investment Services since 2009 and an investment advisor with Truist Advisory Services since 2016. His past registrations include SunTrust Investment Services (Cumming, Georgia; 2009-2016), Wachovia Securities (Atlanta, Georgia; 2000-2009), First Union Brokerage Services (Charlotte, North Carolina; 1996-2000 and 1993-1995), Primevest Financial Services (St. Cloud, Minnesota; 1995-1996), Invest Financial Corporation (Appleton, Wisconsin; 1988-1993), FN Wolf & Company (1988), Sherwood Capital (1987-1988), and First Jersey Securities (1985-1987). His credentials include the passage of seven securities industry qualifying exams: the General Securities Principal Examination, or Series 24; the General Securities Sales Supervisor – Options Module Examination, or Series 9; the General Securities Sales Supervisor – General Module Examination, or Series 10; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. He currently holds 30 state licenses. (Information current as of June 11, 2023.)

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