James C. Gavin
Professional summary
James Cahill Gavin, who also goes by James Gavin, is a registered financial advisor currently at BANKERS LIFE ADVISORY SERVICES, INC. located in Scarborough, Maine and BANKERS LIFE SECURITIES, INC. located in Scarborough, Maine.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. James has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Cahill Gavin's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 5, 2016 - Present
BANKERS LIFE ADVISORY SERVICES, INC.
Office #1: 360 Us Route 1 Suite 202, Scarborough, ME 04074May 26, 2016 - Present
BANKERS LIFE SECURITIES, INC.
Office #1: 360 Us Route 1, Suite 202, Scarborough, ME 04074June 24, 2010 - May 27, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 4, 2010 - May 26, 2016
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
May 14, 2009 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
May 14, 2009 - May 21, 2010
UVEST FINANCIAL SERVICES GROUP, INC.
October 14, 2005 - April 22, 2009
WADDELL & REED
October 13, 2005 - April 22, 2009
WADDELL & REED
June 1, 2005 - September 16, 2005
MML INVESTORS SERVICES, LLC
June 25, 2003 - September 16, 2005
MML INVESTORS SERVICES, LLC
February 4, 2003 - June 4, 2003
MSI FINANCIAL SERVICES, INC.
October 14, 1999 - June 4, 2003
METROPOLITAN LIFE INSURANCE COMPANY
October 14, 1999 - June 4, 2003
MSI FINANCIAL SERVICES, INC.
August 3, 1993 - September 27, 1999
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/27/2020)
(10/27/2020)
(5/26/2016)
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(10/27/2020)
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(5/27/2016)
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(1/8/2025)
(5/26/2016)
(11/16/2020)
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(10/27/2020)
(5/26/2016)
(7/5/2016)
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(1/8/2025)
(10/27/2020)
(5/26/2016)
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(10/27/2020)
(5/26/2016)
(10/27/2020)
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(5/26/2016)
(5/26/2016)
(5/26/2016)
(10/27/2020)
(5/26/2016)
(1/8/2025)
(10/27/2020)
(5/26/2016)
(10/27/2020)
(10/27/2020)
(1/8/2025)
(10/27/2020)
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(10/27/2020)
(10/27/2020)
(10/27/2020)
Exams
FINRA
Current Firm
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285 / SEC#: 801-106953
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 14,938 |
| AUM (Assets Under Management) | $ 1,943,847,697 |
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
BANKERS LIFE ADVISORY SERVICES, INC.
CRD#: 281285Scarborough, ME 04074TRUST BUT VERIFY
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