John P. Gavey

CITIZENS PRIVATE WEALTH

Tarrytown, NY 10591

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CRD#: 2072764

Professional summary

John P Gavey, CFP®, who also goes by John Patrick Gavey, is a registered financial advisor currently at CITIZENS PRIVATE WEALTH located in Tarrytown, New York and CITIZENS SECURITIES, INC. located in Tarrytown, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. John has worked at 9 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 3, Series 7, Series 9, Series 10, Series 4, Series 53, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Patrick Gavey

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.

FINRA - Arbitrator; mediate FINRA cases; Start date 10/2012.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John P Gavey'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®

CFP^®

Certified Financial Planner

Experience

Current

July 21, 2025 - Present

CITIZENS PRIVATE WEALTH

Office #1: 520 White Plains Road 3rd Floor, Tarrytown, NY 10591

RIA

CRD#: 106743

Tarrytown, NY

Current

July 21, 2025 - Present

CITIZENS SECURITIES, INC.

Office #1: 520 White Plains Rd 3rd Floor, Tarrytown, NY 10591

RIA

CRD#: 39550

TARRYTOWN, NY

Current

July 21, 2025 - Present

CITIZENS SECURITIES, INC.

Office #1: 520 White Plains Rd 3rd Floor, Tarrytown, NY 10591

RIA

CRD#: 39550

TARRYTOWN, NY

Past

May 31, 2024 - January 12, 2025

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

NEW YORK, NY

Past

September 29, 2023 - January 12, 2025

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

August 1, 2011 - January 14, 2025

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

RIA

CRD#: 108559

New York, NY

Past

August 1, 2011 - September 29, 2023

FIRST REPUBLIC SECURITIES COMPANY, LLC

CRD#: 105108

NEW YORK, NY

Past

June 1, 2009 - August 4, 2011

MORGAN STANLEY

RIA

CRD#: 149777

NEW YORK, NY

Past

June 1, 2009 - August 4, 2011

MORGAN STANLEY

CRD#: 149777

NEW YORK, NY

Past

October 30, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

October 25, 2007 - June 1, 2009

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

NEW YORK, NY

Past

June 29, 2004 - February 5, 2007

TD AMERITRADE, INC.

RIA

CRD#: 7870

BEVERLY HILLS, CA

Past

June 11, 1994 - February 5, 2007

TD AMERITRADE, INC.

CRD#: 7870

BEVERLY HILLS, CA

Past

June 15, 1993 - June 2, 1994

M.S. FARRELL & COMPANY, INC.

CRD#: 24232

SYOSSET, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

New York
(7/21/2025)

IAR

New York
(7/21/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/17/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 4/22/2024

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/8/2009

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 6/14/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 8/3/2012

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 6/18/2001

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/20/1996

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 5/6/1996

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

CRD#: 106743 / SEC#: 801-40835

RIA

Registered Investment Advisory firm - (2/20/1992 Approved)

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Contact information

Main Address

520 White Plains Road 3rd Floor, Tarrytown, NY 10591

Mailing Address

Phone number

(914) 846-0100

Established

Firm type

Fiscal year end

# of Employees

200

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	7,846
AUM (Assets Under Management)	$ 12,182,945,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/28/2025	Cover Page	Report
07/28/2023	Cover Page	Report
10/28/2022	Cover Page	Report

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.

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Firm Stability Insights

John P. Gavey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John P Gavey's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

CITIZENS SECURITIES, INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN PRIVATE WEALTH ADVISORS LLC

FIRST REPUBLIC SECURITIES COMPANY, LLC

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

TD AMERITRADE, INC.

TD AMERITRADE, INC.

M.S. FARRELL & COMPANY, INC.

Primary Firm SEC Registration

CITIZENS PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 65

Date: 8/17/2001

Series 63

Date: 6/29/1993

Series 52TO

Date: 4/22/2024

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 1/8/2009

Series 7

Date: 6/14/1993

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 4

Date: 8/3/2012

Series 53

Date: 6/18/2001

Series 24

Date: 11/20/1996

Series 8

Date: 5/6/1996

FINRA

Current Firm

CITIZENS PRIVATE WEALTH

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CITIZENS PRIVATE WEALTH

TRUST BUT VERIFY

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