Gavin T. Gleason

THE GLEASON GROUP | President

Prospect, KY 40059

Some features on this profile are disabled

CRD#: 4464641

Professional summary

Gavin T. Gleason is a registered financial advisor currently at THE GLEASON GROUP, INC. located in Prospect, Kentucky.

Gavin is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Gavin has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Financial planning

Retirement planning

What is your current number of clients?

Greater than 100

What is your minimum asset requirement?

500K

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.

JEAN M GLEASON FAMILY TRUST, IS INVESTMENT RELATED, 5911 MOUNT PLEASANT DR, PROSPECT KY 40059, TRUSTEE, 11/2014, 1 HOUR PER MONTH BUT NONE OUTSIDE OF INVESTMENT MANAGEMENT, TRUSTEE TO ACCOUNT.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gavin T. Gleason's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 15, 2015 - Present

THE GLEASON GROUP, INC.

Office #1: 9418 Norton Commons Boulevard Suite 100, Prospect, KY 40059

RIA

CRD#: 175104

Prospect, KY

Past

March 6, 2009 - May 19, 2015

J.J.B. HILLIARD, W.L. LYONS, LLC

RIA

CRD#: 453

LOUISVILLE, KY

Past

March 6, 2009 - May 19, 2015

J.J.B. HILLIARD, W.L. LYONS, LLC

CRD#: 453

LOUISVILLE, KY

Past

March 19, 2002 - March 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

LOUISVILLE, KY

Past

December 6, 2001 - March 11, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

LOUISVILLE, KY

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".

THE GLEASON GROUP, INC.

ADSWORTH WEALTH MANAGEMENT, INC. | THE GLEASON GROUP, INC.

CRD#: 175104 / SEC#: 801-96195

RIA

Registered Investment Advisory firm - (5/5/2015 Approved)

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

Florida
(7/19/2021)

IAR

Hawaii
(8/9/2024)

IAR

Kentucky
(5/15/2015)

IAR

Texas
(8/11/2016)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/24/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/19/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/5/2001

General Securities Representative Examination

Current Firm

THE GLEASON GROUP, INC.

ADSWORTH WEALTH MANAGEMENT, INC. | THE GLEASON GROUP, INC.

CRD#: 175104 / SEC#: 801-96195

RIA

Registered Investment Advisory firm - (5/5/2015 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

9418 Norton Commons Boulevard Suite 100, Prospect, KY 40059

Mailing Address

Phone number

(502) 882-7300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE (3/12/2025)

Regulatory assets under management

Total Number of Accounts	1,023
AUM (Assets Under Management)	$ 973,859,957

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

Similar Advisors

Trystan Downey

CERITY PARTNERS LLC

IAR

LOUISVILLE, KY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Gavin T. Gleason

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gavin T. Gleason's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.J.B. HILLIARD, W.L. LYONS, LLC

J.J.B. HILLIARD, W.L. LYONS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

THE GLEASON GROUP, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/24/2001

SIE

Date: 5/19/2015

Series 7

Date: 12/5/2001

Current Firm

THE GLEASON GROUP, INC.

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

THE GLEASON GROUP, INC.

TRUST BUT VERIFY

Contact information

Similar Advisors