Gavin J. Mcintire
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 Jeffrey Mcintire was a registered financial professional .
Gavin is a previously registered financial professional and started their career in finance in 2000. Gavin had worked at 9 firms and has passed the Series 63, Series 65, 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
July 1, 2014 - April 17, 2019
DWS DISTRIBUTORS, INC.
October 4, 2005 - June 16, 2014
PROFUNDS DISTRIBUTORS, INC.
January 6, 2004 - July 22, 2005
M&T SECURITIES, INC.
May 1, 2003 - July 22, 2005
M&T SECURITIES, INC.
April 3, 2003 - May 1, 2003
ALLFIRST BROKERAGE CORPORATION
January 14, 2002 - March 13, 2003
CITISTREET FINANCIAL SERVICES LLC
November 29, 2001 - March 13, 2003
CITISTREET EQUITIES LLC
January 13, 2001 - November 20, 2001
DEUTSCHE BANK SECURITIES INC.
January 12, 2001 - January 13, 2001
DB ALEX. BROWN LLC
September 22, 2000 - January 12, 2001
FORUM FINANCIAL SERVICES, LLC
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
DWS DISTRIBUTORS, INC.
CRD#: 37306 / SEC#: , 8-47765
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DWS INVESTMENT MANAGEMENT AMERICAS , INC. | SHAREHOLDER | |
| ABBOTT, KEVIN S | CHIEF OPERATING OFFICER | 4210778 |
| BALUYOT, RHEEZA RAMOS | CHIEF FINANCIAL OFFICER | 8028310 |
| CHELEL, NICOLE M. | CHIEF COMPLIANCE OFFICER | 4748490 |
| IKUSS, AMANDA JEAN | VICE PRESIDENT & DIRECTOR | 6602098 |
| MAUTE, BRIAN C | CHAIRMAN OF THE BOARD/DIRECTOR, CHIEF EXECUTIVE OFFICER / PRESIDENT | 2929953 |
| REUTER, MICHELLE S | VICE PRESIDENT | 6572669 |
| SHIELDS, JOHN POWELL JR | DIRECTOR & VICE PRESIDENT | 1950330 |
| WILCZEWSKI, JOEL JOHN | VICE PRESIDENT | 2815498 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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