John C. 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 Christopher Gavin was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1986. John had worked at 5 firms and has passed the Series 63, Series 52TO, Series 72, Series 79TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 1997 - September 1, 1998
SALOMON BROTHERS INC.
September 4, 1996 - February 12, 2007
CITIGROUP GLOBAL MARKETS PUERTO RICO INC.
May 5, 1994 - February 27, 2024
CITIGROUP GLOBAL MARKETS INC.
March 30, 1989 - April 19, 1994
INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC
November 18, 1986 - January 12, 1990
LEHMAN BROTHERS PUERTO RICO INC.
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
SALOMON BROTHERS INC.
CRD#: 740 / SEC#: , 8-26920
Contact information
Documents
Red Flags
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