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GC

Gavin S. Clemons

BROWN BROTHERS HARRIMAN INVESTMENTS
New York, NY 10005
Some features on this profile are disabled
CRD#: 2152999
GC

Professional summary

Gavin Scott Clemons, who also goes by Gavin Clemons, is a registered financial professional currently at BROWN BROTHERS HARRIMAN INVESTMENTS, LLC located in New York, New York.

Gavin is registered as a RR (Registered Representative) and started their career in finance in 2000. Gavin has worked at 2 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 87, Series 16, Series 7, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Gavin Clemons

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 Scott Clemons'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

April 5, 2017 - Present

BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

Office #1: 140 Broadway, New York, NY 10005
BD
CRD#: 282732
New York, NY
Past

January 13, 2017 - June 30, 2017

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY
Past

October 6, 2010 - October 19, 2016

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY
Past

October 1, 2000 - December 24, 2008

BROWN BROTHERS HARRIMAN & CO.

BD
CRD#: 104487
NEW YORK, NY

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
(4/6/2017)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/10/1996
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 9/25/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 10/13/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 16
Date: 4/15/2003
NYSE Supervisory Analyst Examination
General Industry/Product Exam
RR
Series 7
Date: 10/1/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 11/16/2006
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/13/2006
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

BB
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC
BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

CRD#: 282732 / SEC#: , 8-69731

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
140 Broadway, New York, NY 10005-1108
Mailing Address
140 Broadway, New York, NY 10005-1108
Phone number
(212) 483-1818
Established
Delaware since 11/09/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 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#
BROWN BROTHERS HARRIMAN & CO.SOLE MEMBER
GREIFENKAMP, DANIEL JOSEPHCEO, CHAIRMAN OF THE BOARD2180478
HUTSON, JOSHUA EYARECCO2912952
KRUCZEK, ROBERT PATRICKDIRECTOR2389311
MESKIN, JEFFREY BRYANDIRECTOR2855280
PUSTORINO, PAUL JAMESPRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER5059093
SCHOENFELD, JEFFREY ALANDIRECTOR2490214

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

BROWN BROTHERS HARRIMAN INVESTMENTS, LLC

CRD#: 282732New York, NY 10005

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