Neil S. Gavande
Professional summary
Neil Sampat Gavande, CFP®, ChFC®, CLU®, who also goes by Neil S Gavande, is a registered financial advisor currently at FARM AND COMMUNITY ADVISORY located in Los Gatos, California.
Neil is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Neil has worked at 5 firms and has passed the Series 66, Series 7TO, SIE, Series 3, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Neil Sampat Gavande's CRS (Customer Relationship Summary).
Certified licenses
Start date: 2006
Experience
August 2, 2024 - Present
FARM AND COMMUNITY ADVISORY
July 27, 2020 - October 3, 2023
TCFG INVESTMENT ADVISORS, LLC
January 2, 2014 - May 14, 2020
MORGAN STANLEY
January 2, 2014 - May 14, 2020
MORGAN STANLEY
October 1, 2004 - January 10, 2014
UBS FINANCIAL SERVICES INC.
October 1, 2004 - January 10, 2014
UBS FINANCIAL SERVICES INC.
January 25, 2002 - October 7, 2004
MORGAN STANLEY DW INC.
November 20, 2001 - October 7, 2004
MORGAN STANLEY DW INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(8/2/2024)
Exams
Series 7TO
Date: 3/7/2024
General Securities Representative ExaminationCurrent Firm
FARM AND COMMUNITY ADVISORY
CRD#: 331936 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 55,000 |
Red Flags
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