John G. Gavin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Gregory Gavin, who also goes by Greg Gavin, John Gregory Gavin Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2000. John had worked at 7 firms and has passed the Series 55 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 15, 2005 - May 26, 2009
E. H. SMITH JACOBS & CO., INC.
January 4, 2005 - December 6, 2005
NATIVEONE INSTITUTIONAL TRADING, LLC.
September 2, 2004 - January 18, 2005
GREG GAVIN
February 26, 2004 - September 27, 2004
LIVERMORE TRADING GROUP, INC.
December 12, 2003 - March 5, 2004
J. GREGORY GAVIN, SOLE PROPRIETOR
January 9, 2002 - December 12, 2003
ADVANCED EQUITIES SERVICES CORP.
October 17, 2000 - September 26, 2001
FIRST NEW YORK SECURITIES L.L.C.
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
Series 55
Date: 10/24/2000
Limited Representative-Equity Trader ExamCurrent Firm
E. H. SMITH JACOBS & CO., INC.
CRD#: 3429 / SEC#: , 8-36808
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND C. FORBES FAMILY TRUST I | SHAREHOLDER | |
| RAYMOND C. FORBES REVOCABLE TRUST | SHAREHOLDER | |
| FORBES, MARIE-REGINA | PRESIDENT/FINOP/CCO/TREASURER | 2106108 |
| FORBES, PATRICIA MARY | VP/SROP/CROP/SECRETARY | 2241513 |
| FORBES, RAYMOND CLEMENT | TRUSTEE, FAMILY TRUST I AND RAYMOND C. FORBES REVOCABLE TRUST | 210968 |
| MCMULLIN, KIMBALL R. | TRUSTEE, FAMILY TRUST I | 5304349 |
Disclosures
| Regulatory Event | 6 |
Red Flags
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