JOHN J. GAVIN III

PCM ENCORE | Regional Vice President

Midlothian, VA

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CRD#: 4895365

Professional summary

JOHN JOSEPH GAVIN III is a registered financial advisor currently at PCM ENCORE, LLC located in Midlothian, Virginia.

JOHN is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2005. JOHN has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.

EFFECTIVE 1/6/15 - DHDA,LLC - HOLDS RESIDENTIAL PROPERTIES FOR RENTAL INCOME.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view JOHN JOSEPH GAVIN III'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

November 19, 2024 - Present

PCM ENCORE, LLC

RIA

CRD#: 333127

Midlothian, VA

Past

January 11, 2022 - November 19, 2024

FISHER INVESTMENTS

RIA

CRD#: 107342

MIDLOTHIAN, VA

Past

October 27, 2020 - January 6, 2022

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA

CRD#: 109591

Midlothian, VA

Past

September 9, 2020 - January 6, 2022

NYLIFE DISTRIBUTORS LLC

CRD#: 35350

JERSEY CITY, NJ

Past

June 16, 2015 - August 27, 2020

NUVEEN ASSET MANAGEMENT, LLC

RIA

CRD#: 155584

CHICAGO, IL

Past

May 8, 2015 - August 27, 2020

NUVEEN SECURITIES, LLC

CRD#: 469

CHICAGO, IL

Past

December 3, 2012 - May 5, 2015

HARTFORD FUNDS DISTRIBUTORS, LLC

CRD#: 45995

WAYNE, PA

Past

April 18, 2005 - December 3, 2012

GLOBAL ATLANTIC DISTRIBUTORS, LLC

CRD#: 8326

HARTFORD, CT

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".

PCM ENCORE, LLC

ENCORE | PCM ENCORE, LLC | ENCORE INVESTMENT

CRD#: 333127 / SEC#: 801-131243

RIA

Registered Investment Advisory firm - (10/3/2024 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

Virginia
(11/19/2024)

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 65

Date: 6/16/2015

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/17/2005

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/30/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 4/15/2005

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PCM ENCORE, LLC

ENCORE | PCM ENCORE, LLC | ENCORE INVESTMENT

CRD#: 333127 / SEC#: 801-131243

RIA

Registered Investment Advisory firm - (10/3/2024 Approved)

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Contact information

Main Address

520 E Cooper Ave. Ste. 7c, Aspen, CO 81611

Mailing Address

Phone number

(425) 214-1755

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (9 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

DISCLOSURE BROCHURE FOR PCM ENCORE, LLC (11/11/2025)

Regulatory assets under management

Total Number of Accounts	53
AUM (Assets Under Management)	$ 1,235,192,427

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

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JOHN J. GAVIN III

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view JOHN JOSEPH GAVIN III's CRS (Customer Relationship Summary).

Certified licenses

Experience

FISHER INVESTMENTS

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

NYLIFE DISTRIBUTORS LLC

NUVEEN ASSET MANAGEMENT, LLC

NUVEEN SECURITIES, LLC

HARTFORD FUNDS DISTRIBUTORS, LLC

GLOBAL ATLANTIC DISTRIBUTORS, LLC

Primary Firm SEC Registration

PCM ENCORE, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 6/16/2015

Series 63

Date: 8/17/2005

SIE

Date: 10/1/2018

Series 7

Date: 12/30/2014

Series 6

Date: 4/15/2005

Current Firm

PCM ENCORE, LLC

Contact information

SEC notice filing (9 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PCM ENCORE, LLC

TRUST BUT VERIFY

Contact information

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