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SG

Stephen Gavlick

FORESIDE FUND SERVICES
Hampton, NJ
Some features on this profile are disabled
CRD#: 2909207
SG

Professional summary

Stephen Gavlick, who also goes by Stephen Gav, Steve Gavlick, Stephen Gavlick, is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Hampton, New Jersey.

Stephen is registered as a RR (Registered Representative) and started their career in finance in 2000. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7TO, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Stephen Gav | Steve Gavlick | Stephen Gavlick

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 Stephen Gavlick'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

June 6, 2023 - Present

FORESIDE FUND SERVICES, LLC

Office #2: 10 Exchange Place 18th Floor, Jersey City, NJ 07302
BD
CRD#: 46106
Hampton, NJ
Past

April 15, 2004 - November 18, 2009

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY
Past

November 21, 2002 - September 12, 2003

INVESTORS CAPITAL CORP.

BD
CRD#: 30613
LYNNFIELD, MA
Past

October 4, 2001 - November 15, 2002

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT
Past

May 30, 2001 - September 21, 2001

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

September 12, 2000 - October 13, 2000

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
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
Alabama
(6/18/2024)
RR
Arizona
(6/18/2024)
RR
Arkansas
(6/18/2024)
RR
California
(6/18/2024)
RR
Colorado
(6/18/2024)
RR
Connecticut
(6/18/2024)
RR
Delaware
(6/18/2024)
RR
District of Columbia
(6/18/2024)
RR
Florida
(6/18/2024)
RR
Georgia
(6/18/2024)
RR
Idaho
(6/18/2024)
RR
Illinois
(6/18/2024)
RR
Indiana
(6/18/2024)
RR
Kansas
(6/18/2024)
RR
Kentucky
(6/18/2024)
RR
Louisiana
(6/18/2024)
RR
Maryland
(6/18/2024)
RR
Massachusetts
(6/18/2024)
RR
Michigan
(6/18/2024)
RR
Minnesota
(6/18/2024)
RR
Mississippi
(6/18/2024)
RR
Missouri
(6/18/2024)
RR
Montana
(6/19/2024)
RR
Nevada
(6/18/2024)
RR
New Hampshire
(6/18/2024)
RR
New Jersey
(11/7/2023)
RR
New York
(6/18/2024)
RR
North Carolina
(6/18/2024)
RR
Ohio
(6/18/2024)
RR
Oklahoma
(6/18/2024)
RR
Pennsylvania
(6/18/2024)
RR
Rhode Island
(6/18/2024)
RR
South Carolina
(6/18/2024)
RR
Tennessee
(6/18/2024)
RR
Texas
(6/18/2024)
RR
Vermont
(6/18/2024)
RR
Washington
(6/18/2024)
RR
Wisconsin
(6/18/2024)
RR
Wyoming
(6/18/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 10/30/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/6/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/27/2023
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/11/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/3/2024
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

FF
FORESIDE FUND SERVICES, LLC
FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

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

Main Address
190 Middle Street Suite 301, Portland, ME 04101
Mailing Address
190 Middle Street Suite 301, Portland, ME 04101
Phone number
(207) 553-7110
Established
Delaware since 09/08/1998
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# 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#
FORESIDE DISTRIBUTORS, LLCSOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKIPRES/MANAGER/DIRECTOR1544189
EDELMAN, GABRIELSECRETARY6654419
LA FOND, SUSAN LORENETREASURER4512785
LANZA, CHRISTOPHER CONTEVICE PRESIDENT2184856
MACCHIA, KATE SCHENDELVICE PRESIDENT4863973
SOMMERS, WESTONCFO/FINOP5290145
STROUT, ALICIA KIMBERLYCHIEF COMPLIANCE OFFICER/VICE PRESIDENT6320351

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

FORESIDE FUND SERVICES, LLC

CRD#: 46106Hampton, NJ

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