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GW

Gavin M. Whitmore

U.S. STERLING SECURITIES
Hauppauge, NY 11788
Some features on this profile are disabled
CRD#: 1574806
GW

Professional summary

Gavin Michael Whitmore, who also goes by Gavin M Whitmore, is a registered financial professional currently at U.S. STERLING SECURITIES, INC. located in Hauppauge, New York.

Gavin is registered as a RR (Registered Representative) and started their career in finance in 1986. Gavin has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gavin M Whitmore

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Gavin Michael Whitmore's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

January 3, 2018 - Present

U.S. STERLING SECURITIES, INC.

Office #1: 1393 Veterans Memorial Highway 412n, Hauppauge, NY 11788
BD
CRD#: 35912
Hauppauge, NY
Past

August 18, 2014 - January 19, 2016

MATRIX CAPITAL GROUP, INC.

BD
CRD#: 33364
NEW YORK, NY
Past

February 28, 2008 - September 12, 2012

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

BD
CRD#: 144464
NEW YORK, NY
Past

May 14, 2007 - February 28, 2008

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
NEW YORK, NY
Past

October 13, 2006 - September 27, 2012

CLEARARC CAPITAL, INC.

RIA
CRD#: 104650
PITTSBURGH, PA
Past

December 21, 2005 - May 11, 2007

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
PORTLAND, ME
Past

January 2, 2004 - October 10, 2005

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
BROOKLYN, OH
Past

May 4, 1999 - January 9, 2003

VP DISTRIBUTORS LLC

BD
CRD#: 3036
HARTFORD, CT
Past

February 19, 1992 - December 1, 1999

PXP SECURITIES CORP.

BD
CRD#: 22898
HARTFORD, CT
Past

May 11, 1990 - January 24, 1992

OCC DISTRIBUTORS LLC

BD
CRD#: 18541
NEW YORK, NY
Past

July 2, 1987 - May 25, 1990

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY
Past

November 5, 1986 - February 10, 1987

FORESTERS FINANCIAL SERVICES, INC.

BD
CRD#: 305

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(1/3/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/27/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 11/7/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/27/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 11/4/1986
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/16/2002
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/3/1999
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

US
U.S. STERLING SECURITIES, INC.
U.S. STERLING SECURITIES, INC.

CRD#: 35912 / SEC#: , 8-47052

BD
Broker-Dealer Firm Regulated by FINRA (Long Island district office)
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Contact information

Main Address
1393 Veterans Memorial Highway Unit 412n, Hauppauge, NY 11788
Mailing Address
1393 Veterans Memorial Highway Unit 412n, Hauppauge, NY 11788
Phone number
(631) 360-2829
Established
New York since 03/10/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (43 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
U. S. STERLING CAPITAL CORPORATIONDOMESTIC ENTITY SHAREHOLDER
GOLDMAN, GEORGE ROBERTFINOP/CO-CCO/ROP/VP FINANCE1315513
ORR, BRIAN JUSTINMANAGING DIRECTOR/EXECUTIVE VP4030228
ORR, HERBERT ARTHUR JRPRESIDENT/CEO/CCO2124439
ORR, SHAWN WILLIAMEXECUTIVE VICE PRESIDENT/CCO4543396

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.

Company Information

U.S. STERLING SECURITIES, INC.

CRD#: 35912Hauppauge, NY 11788

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