Gavin D. Lynn
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.
Gavin David Lynn, who also goes by Gavin D Lynnhall, Gavin David Lyon, was a registered financial professional .
Gavin is a previously registered financial professional and started their career in finance in 1998. Gavin had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53, Series 24, Series 10, Series 4 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 27, 2018 - July 25, 2019
CITIZENS SECURITIES, INC.
August 27, 2018 - July 25, 2019
CITIZENS SECURITIES, INC.
December 4, 2012 - August 3, 2018
VOYA FINANCIAL ADVISORS, INC.
November 14, 2012 - August 3, 2018
VOYA FINANCIAL ADVISORS, INC.
December 8, 2011 - November 19, 2012
NYLIFE SECURITIES LLC
October 23, 2009 - September 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - September 19, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 6, 2002 - October 20, 2004
QUICK & REILLY, INC.
March 5, 2001 - October 20, 2004
QUICK & REILLY, INC.
July 20, 1999 - March 5, 2001
SURETRADE INC.
February 17, 1999 - April 14, 1999
STOCK USA, INC.
October 20, 1998 - February 8, 1999
NATIONAL CLEARING CORP.
Primary Firm SEC Registration
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
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
CITIZENS SECURITIES, INC.
CRD#: 39550 / SEC#: 801-61902, 8-48744
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 53,044 |
| AUM (Assets Under Management) | $ 9,188,004,183 |
Disclosures
| Regulatory Event | 16 |
| Arbitration | 6 |
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.
