Glenn P. 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.
Glenn Patrick Gavin SR, who also goes by Glenn Patrick Gavin, was a registered financial professional .
Glenn is a previously registered financial professional and started their career in finance in 1988. Glenn had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 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
February 23, 2015 - December 11, 2015
TRICOR ADVISORY SERVICES, LLC
February 23, 2015 - November 13, 2015
TRICOR FINANCIAL, LLC
August 27, 2013 - January 29, 2014
FIRST FOUNDATION ADVISORS
September 25, 2012 - March 18, 2013
TRICOR ADVISORY SERVICES, LLC
January 19, 2010 - March 18, 2013
TRICOR FINANCIAL, LLC
December 19, 2006 - September 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 19, 2006 - September 4, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 14, 2002 - December 8, 2006
COMMONWEALTH FINANCIAL NETWORK
December 5, 2001 - December 8, 2006
COMMONWEALTH FINANCIAL NETWORK
July 12, 1999 - December 13, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 6, 1994 - July 12, 1999
BA INVESTMENT SERVICES, INC.
September 15, 1993 - January 14, 1994
PRUCO SECURITIES, LLC.
April 6, 1993 - September 2, 1993
CAPITAL BROKERAGE CORPORATION
August 10, 1988 - April 21, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 10, 1988 - January 14, 1994
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
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Exams
Current Firm
TRICOR ADVISORY SERVICES, LLC
CRD#: 141775 / SEC#: 801-67209
Contact information
Red Flags
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