Daniel J. 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.
Daniel Joseph Gavin was a registered financial professional .
Daniel is a previously registered financial professional and started their career in finance in 1972. Daniel had worked at 3 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 15, PC, Series 1, Series 24, Series 51, Series 4, Series 40 and Series 12 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2010 - January 26, 2021
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 30, 1996 - January 26, 2021
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 3, 1972 - September 4, 1996
FIRST OF MICHIGAN CORPORATION
Primary Firm SEC Registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 15
Date: 5/19/1984
Foreign Currency Options ExaminationPC
Date: 7/14/1977
AMEX Put and Call ExamSeries 1
Date: 2/17/1972
Registered Representative ExaminationSeries 40
Date: 2/24/1977
Registered Principal ExaminationSeries 12
Date: 11/10/1975
NYSE Branch Manager ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
CRD#: 149018 / SEC#: 801-69815
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,030,208 |
| AUM (Assets Under Management) | $ 344,868,106,925 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/12/2025 | ||
| 08/21/2024 | ||
| 09/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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