Gavin James Parker
Professional Summary
Gavin James Parker, who also goes by Gavin James Parker, Gavin Parker, is a registered financial advisor currently at TD PRIVATE CLIENT WEALTH LLC located in Portland, Maine. Gavin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Gavin has worked at 14 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 24 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gavin James Parker, Gavin Parker
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PFS INVESTMENTS INC.
Videos & Posts
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PFS INVESTMENTS INC.
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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PFS INVESTMENTS INC.
Disclosures on record.
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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PFS INVESTMENTS INC.
Years of Experience
35 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
TD PRIVATE CLIENT WEALTH LLC
Contact Information
Main Address
1 Vanderbilt Avenue 23rd Floor 23rd Floor, New York, NY, 10017Mailing Address
1 Vanderbilt Avenue 23rd Floor, New York, NY, 10017Phone Number
(877) 703-9896Established
Delaware since 07/13/2012Firm Type
Limited Liability CompanyFiscal Year End
OctoberFirm Size
Large# of Employees
671SEC notice filing (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
FINRA licenses (51 States and Territories)
Registered to provide investment advisory services in 51 US states and territories.
Documents
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
25,698AUM (Assets Under Management)
$8,574,585,303Disclosures
Regulatory Event
3Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/30/2025 | Cover Page | Report |
| 09/27/2024 | Cover Page | Report |
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PFS INVESTMENTS INC.
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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PFS INVESTMENTS INC.
Primary Firm SEC Registration
TD PRIVATE CLIENT WEALTH LLC
State Registrations and Notice Filings
(6/26/2023)
(6/26/2023)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Oct 2002About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Oct 2002About the Series 9 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Aug 1999About the Series 26 examSRO Registrations
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PFS INVESTMENTS INC.
CRS (Client Relationship Summary) - RIA
Click below to view Gavin James Parker's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gavin James Parker's CRS (Customer Relationship Summary).
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PFS INVESTMENTS INC.