GA
Gavin T. Amato
ROBERT W. BAIRD & CO.
Lake Oswego, OR 97035
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CRD#: 4268577
GA
Professional summary
Gavin Trent Amato, CPWA® is a registered financial advisor currently at ROBERT W. BAIRD & CO. INCORPORATED located in Lake Oswego, Oregon.
Gavin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Gavin has worked at 4 firms and has passed the Series 66, SIE and Series 7 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.
AMATO PACIFIC CORP NOT INVESTMENT RELATED PORTLAND, OR REAL ESTATE PARTIAL OWNER 1/1/96 NO HOURS DEVOTED. NAME AND ADDRESS: TURN TWO INVESTMENTS, LLC 610 SW ALDER ST. SUITE 315 PORTLAND, OR 97205 NATURE OF ENTITY: TURN TWO INVESTMENTS, LLC IS A LIMITED LIABILITY COMAPANY SET UP FOR INVESTMENT IN BUSINESS OPPORTUNITIES RELATED TO BUT NOT SOLELY SUBJECT TO HEALTH CARE, FITNESS, FOOD SERVICES AND OTHERS. RESPONSIBILITIES IN THIS ROLE: MY RESPONSIBILITIES INCLUDE PERSONAL INVESTMENT FUNDS TO THE LLC. I WILL THEN HELP OVERSEE ANY POTENTIAL INVESTMENTS THE LLC DECIDES TO MAKE WITH ITS CAPITAL. SHOULD TURN TWO, LLC ACQUIRE OR OFFER INVESTMENT IN ANOTHER CORPORATION OR LLC, I WOULD POTENTIALLY HAVE AN OPERATING INTEREST IN THE ACQUIRED FIRM. HOURS DEVOTED: 7 HOURS PER WEEK. NONE DURING SECURITIES TRADING HOURS. NAME AND ADDRESS: SUNSET PARK 1991 LLC 2724 SE ANKENY PORTLAND, OR 97214 NATURE OF ENTITY: RESTAURANT AND BAR RESPONSIBILITIES IN THIS ROLE: OWNER HOURS DEVOTED: 2 HOURS A WEEK. Name/Address: Gavin Amato, Trustee Start date: 11/1/21 Hours spent: 0-2 hours/month Hours spent during trading Hours: None Role/Responsibility: Trustee; Investment related Name/Address: Jesuit High School / 9000 SW Beaverton Hillsdale Highway, Portland, OR 97225 Start Date: Dec 01, 2000 Hours Spent: 6-10 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Basketball Coach Non Investment Related Name/Address: RH Columbia LLC 2250 NW Flanders St., Suite G-02 Portland OR 97210 Start Date: 3/24/14 Hours Spent: 0-2 hours/month Hours Spent During Trading: 0-1 hours/month Role/Responsibility: Investor Investment Related
CRS (Client Relationship Summary) - RIA
Click below to view Gavin Trent Amato's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gavin Trent Amato'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®
CPWA®
Start date: 2012-08-29
Expire date: 2024-07-31
Experience
Current
April 28, 2011 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 5400 Meadows Rd Ste 300, Lake Oswego, OR 97035RIA
BD
CRD#: 8158
Lake Oswego, OR
Current
April 28, 2011 - Present
ROBERT W. BAIRD & CO. INCORPORATED
Office #1: 5400 Meadows Rd Ste 300, Lake Oswego, OR 97035RIA
BD
CRD#: 8158
Lake Oswego, OR
Past
June 1, 2009 - May 5, 2011
MORGAN STANLEY
RIA
CRD#: 149777
PORTLAND, OR
Past
June 1, 2009 - May 5, 2011
MORGAN STANLEY
BD
CRD#: 149777
PORTLAND, OR
Past
April 16, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
PORTLAND, OR
Past
January 14, 2003 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
PORTLAND, OR
Past
December 3, 2001 - January 15, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
HILLSBORO, OR
Past
November 20, 2000 - January 15, 2003
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
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".
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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.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
Alaska(4/28/2011)
RR
Arizona(4/28/2011)
RR
California(4/28/2011)
RR
Colorado(3/9/2020)
RR
Delaware(11/22/2022)
RR
Florida(4/28/2011)
IAR
Florida(1/3/2018)
RR
Georgia(8/24/2015)
RR
Hawaii(2/11/2021)
RR
Idaho(4/28/2011)
RR
Illinois(3/2/2022)
RR
Indiana(4/28/2011)
RR
Iowa(3/20/2024)
RR
Massachusetts(10/7/2025)
RR
Minnesota(5/3/2019)
RR
Montana(4/28/2011)
RR
Nebraska(5/31/2023)
RR
Nevada(4/28/2011)
RR
New Jersey(3/26/2025)
RR
New York(5/28/2019)
RR
North Carolina(4/30/2019)
RR
Oregon(4/28/2011)
IAR
Oregon(4/28/2011)
RR
Pennsylvania(9/4/2024)
RR
South Carolina(2/7/2017)
RR
Tennessee(4/28/2011)
RR
Texas(4/28/2011)
IAR
Texas(2/10/2017)
RR
Utah(4/28/2011)
RR
Virginia(12/5/2016)
RR
Washington(4/28/2011)
RR
Wisconsin(7/13/2023)
RR
Wyoming(5/6/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
ROBERT W. BAIRD & CO. INCORPORATED
BAIRD | THE DDK GROUP | ROBERT W. BAIRD & CO. INCORPORATED | CHAUTAUQUA CAPITAL MANAGEMENT | BAIRD PRIVATE WEALTH MANAGEMENT | BAIRD PRIVATE ASSET MANAGEMENT | BAIRD INSTITUTIONAL EQUITIES & RESEARCH | BAIRD GENERATIONAL WEALTH GROUP | BAIRD EQUITY ASSET MANAGEMENT | BAIRD ADVISORS
CRD#: 8158 / SEC#: 801-7571, 8-497
RIA
Registered Investment Advisory firm - SEC (7/14/1971 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information
Main Address
777 E. Wisconsin Avenue, Milwaukee, WI 53202-5391
Mailing Address
P.o. Box 672, Milwaukee, WI 53201
Phone number
(414) 765-3500
Established
Wisconsin since 12/29/1919
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
4,175
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAIRD FINANCIAL CORPORATION | SHAREHOLDER | |
| BOOTH, STEVEN GREGORY | CHAIRMAN, PRESIDENT, CHIEF EXECUTIVE OFFICER | 2147388 |
| DAHLBERG, ERIK CHARLES | DIRECTOR | 1650544 |
| GRAVERSON, CHRISTA LYNN | CHIEF COMPLIANCE OFFICER | 4912961 |
| LAWTON, PATRICK STEVEN | DIRECTOR | 1007318 |
| MAXWELL, TERRANCE PATRICK | CHIEF FINANCIAL OFFICER, DIRECTOR | 1463158 |
| PALMER, ANGELA MARIE | REGISTERED INVESTMENT ADVISOR CCO | 4915568 |
| SCHROEDER, MICHAEL JOHN | DIRECTOR | 1483012 |
| SCHULTZ, PAUL LEE | GENERAL COUNSEL, SECRETARY | 1965163 |
| STANEK, MARY ELLEN | DIRECTOR | 2006493 |
| THUROW, LAURA K | CHIEF OPERATIONS OFFICER | 3193702 |
Regulatory assets under management
| Total Number of Accounts | 350,776 |
| AUM (Assets Under Management) | $ 342,142,869,924 |
Disclosures
| Regulatory Event | 43 |
| Arbitration | 31 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/24/2024 | ||
| 11/15/2023 |
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.
