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Ross Christopher Michael Gaudoin

ASTERA FINANCIAL GROUP, LLC·CARMEL, California
SIE, Series 7TO, Series 63, Series 65Clean record18 years registeredASTERA FINANCIAL GROUP, LLC
126 CLOCK TOWER PLACE, CARMEL, CA 93923CRD# 5500976Firm CRD# 144850

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Ross Christopher Michael Gaudoin · CARMEL, CA
Registration
CRD #5500976 · ASTERA FINANCIAL GROUP, LLC · 18 years registered
Brand Profile
Not yet started
01

Career History

UBS FINANCIAL SERVICES INC.
Feb 2021 – present
FIRST REPUBLIC INVESTMENT MANAGEMENT, INC.
Aug 2013 – Feb 2021
WALNUT CREEK, CA
ASTERA FINANCIAL GROUP, LLC
Jul 2008 – Dec 2012
CARMEL, CA
02

Registrations & Exams

FINRA examinations passed
SIE
Series 7TO
Series 63
Series 65
Registration record
First registered · July 23, 2008
Years registered · 18
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
ASTERA FINANCIAL GROUP, LLC
CRD 144850 · SEC 801-68754
AUM
$36M
Regulatory assets under management
Employees
6
1 client accounts
Services offered by ASTERA FINANCIAL GROUP, LLC
Per Form ADV
Pension consulting
Client types served by the firm
Per Form ADV
Pension & Retirement Plans
View all advisors at ASTERA FINANCIAL GROUP, LLC →
Introduction

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05

Frequently Asked Questions

What services does Ross Christopher Michael Gaudoin offer?
Ross Christopher Michael Gaudoin specializes in Retirement Planning. Contact their office in CARMEL, California for a consultation.
What are Ross Christopher Michael Gaudoin's credentials?
Ross Christopher Michael Gaudoin is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Ross Christopher Michael Gaudoin located?
Ross Christopher Michael Gaudoin is based in CARMEL, California, working with ASTERA FINANCIAL GROUP, LLC. Their office serves clients in the CARMEL metropolitan area and surrounding communities.
How does Ross Christopher Michael Gaudoin charge for services?
Ross Christopher Michael Gaudoin's firm is compensated through percentage of aum, performance-based fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ASTERA FINANCIAL GROUP, LLC?
ASTERA FINANCIAL GROUP, LLC has approximately 6 employees and manages $36M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at ASTERA FINANCIAL GROUP, LLC

Brian Thomas Corley
CARMEL, CA
Curt Alan Breitfuss
CARMEL, CA
Daniel Justin Grover
CARMEL, CA
CFP

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