Bruce A. 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.
Bruce Andrew Gavin was a registered financial professional .
Bruce is a previously registered financial professional and started their career in finance in 1992. Bruce had worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2010 - September 29, 2015
THE LEADERS GROUP, INC.
May 20, 2009 - February 19, 2010
KESTRA INVESTMENT SERVICES, LLC
May 20, 2009 - February 19, 2010
KESTRA INVESTMENT SERVICES, LLC
April 29, 2002 - January 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 1, 1992 - January 2, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
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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