Michael F. Gavin
Professional summary
Michael Francis Gavin was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael Francis Gavin, who also goes by Michael F Gavin, Mike Gavin, was a registered financial advisor .
Michael is a previously registered financial advisor and started their career in finance in 1984. Michael had worked at 8 firms and has passed the Series 65, Series 63, Series 7, Series 24 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2008 - September 30, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
May 22, 2008 - September 30, 2009
AMERIPRISE FINANCIAL SERVICES, LLC
July 25, 2003 - June 12, 2008
CITIGROUP GLOBAL MARKETS INC.
October 1, 1999 - July 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
October 1, 1999 - July 28, 2003
WELLS FARGO CLEARING SERVICES, LLC
November 1, 1996 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
December 15, 1989 - November 14, 1996
BCG SECURITIES, INC.
March 29, 1988 - May 23, 1989
RICKEL & ASSOCIATES, INC.
December 18, 1984 - January 4, 1988
MATTHEWS & WRIGHT, INC.
December 18, 1984 - January 4, 1988
MATTHEWS & WRIGHT CAPITAL, INC.
Primary Firm SEC Registration
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
AMERIPRISE FINANCIAL SERVICES, LLC
CRD#: 6363 / SEC#: 801-28543, 8-16791
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMPF HOLDING, LLC | SHAREHOLDER | |
| DOREN, MITCHELL DAVID | REGION VICE PRESIDENT (TEXAS DESIGNATED OFFICER) | 2129844 |
| FLEMING, JOSEPH DANIEL | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 2093776 |
| MATTOX, MICHAEL SCOTT | VICE PRESIDENT - CONTROLLER, INTERIM CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER | 4383501 |
| O'CONNELL, PATRICK HUGH | DIRECTOR, EXECUTIVE VICE PRESIDENT-FIELD MANAGEMENT | 2246285 |
| SENNE, ANN MARIE | EXECUTIVE VICE PRESIDENT - WEALTH MANAGEMENT SOLUTIONS | 2515669 |
| SWEENEY, JOSEPH EDWARD | PRESIDENT, CHAIRMAN AND CHIEF EXECUTIVE OFFICER | 4668713 |
| WILLIAMS, WILLIAM JERRYL | EXECUTIVE VICE PRESIDENT- AMERIPRISE FINANCIAL GROUP & AMERIPRISE ADVISOR CENTER | 1954117 |
Regulatory assets under management
| Total Number of Accounts | 2,281,153 |
| AUM (Assets Under Management) | $ 564,622,896,919 |
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 103 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/19/2025 | ||
| 09/23/2024 | ||
| 10/24/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
