John T. 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.
John Thomas Gavin, CIMA®, who also goes by John Gavin, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1996. John had worked at 8 firms and has passed the 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 12, 2014 - November 10, 2014
ALT FUND DISTRIBUTORS LLC
July 25, 2013 - April 21, 2014
PROVASI CAPITAL PARTNERS LP
October 29, 2012 - June 5, 2013
LASALLE INVESTMENT MANAGEMENT DISTRIBUTORS, LLC
July 19, 2011 - October 31, 2011
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
November 7, 2005 - March 22, 2011
JANUS HENDERSON DISTRIBUTORS US LLC
January 1, 2005 - October 24, 2005
JPMORGAN DISTRIBUTION SERVICES, INC.
January 7, 2004 - January 1, 2005
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
September 18, 2000 - December 2, 2003
FAM DISTRIBUTORS, INC.
January 25, 1996 - August 10, 2000
INVESCO CAPITAL MARKETS, INC.
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
Current Firm
ALT FUND DISTRIBUTORS LLC
CRD#: 146547 / SEC#: , 8-67829
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
