GB
Gavin M. Borzello
AMERICAN WEALTH MANAGEMENT
ALPHARETTA, GA 30005
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CRD#: 3242246
GB
Professional summary
Gavin Matthew Borzello is a registered financial advisor currently at AMERICAN WEALTH MANAGEMENT, INC. located in Alpharetta, Georgia.
Gavin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Gavin has worked at 1 firm and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
INSURANCE AGENT PART-TIME APPROX 2 HOURS A MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Gavin Matthew Borzello's 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®
NoneExperience
Current
January 9, 2008 - Present
AMERICAN WEALTH MANAGEMENT, INC.
Office #1: 3480 Preston Ridge Road Suite 500, Alpharetta, GA 30005RIA
CRD#: 25536
ALPHARETTA, GA
Past
July 16, 1999 - November 25, 2024
AMERICAN WEALTH MANAGEMENT, INC.
BD
CRD#: 25536
Alpharetta, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
AW
AMERICAN WEALTH MANAGEMENT, INC.
AMERICAN WEALTH MANAGEMENT, INC.
CRD#: 25536 / SEC#: 801-66163, 8-41807
RIA
Registered Investment Advisory firm - SEC (1/30/2006 Approved)Arizona
Registered Investment Advisory firm - SEC (11/28/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (2/27/2006 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/27/2006 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2006 Terminated)BD
Terminated by SEC on 12/02/2024
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(11/29/2023)
IAR
Florida(1/3/2023)
IAR
Georgia(1/9/2008)
IAR
North Carolina(12/12/2024)
IAR
Washington(12/15/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
AW
AMERICAN WEALTH MANAGEMENT, INC.
AMERICAN WEALTH MANAGEMENT, INC.
CRD#: 25536 / SEC#: 801-66163, 8-41807
RIA
Registered Investment Advisory firm - SEC (1/30/2006 Approved)Arizona
Registered Investment Advisory firm - SEC (11/28/2023 Terminated)Florida
Registered Investment Advisory firm - SEC (2/27/2006 Terminated)Georgia
Registered Investment Advisory firm - SEC (2/27/2006 Terminated)Texas
Registered Investment Advisory firm - SEC (2/27/2006 Terminated)BD
Terminated by SEC on 12/02/2024
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Contact information
Main Address
3480 Preston Ridge Road Suite 500, Alpharetta, GA 30005
Mailing Address
Phone number
(770) 392-8741
Established
Georgia since 11/21/1989
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
10
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,219 |
| AUM (Assets Under Management) | $ 309,865,000 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
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.
