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Gavin Apter

CRD# 5013418·Registered 2009 - 2014
Previously Registered: Being a previously registered professional could mean that Gavin 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.

Professional Summary

Gavin Apter was a registered financial advisor. Gavin was a previously registered financial professional and started their career in finance 2009 - 2014. Gavin had worked at 2 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

17 years in the financial services industry

Current & Past Employments

ZEUS FINANCIAL, LLC·CRD# 18192
BD
New York, NY
May 12, 2014 - October 29, 2014
GOLDMAN SACHS & CO. LLC·CRD# 361
BD
New York, NY
June 5, 2009 - May 21, 2013

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Current Firm

ZF
ZEUS FINANCIAL, LLC

TRANS-CAP SECURITIES, INC | ZEUSFINANCIALLLC.COM | ZEUSBD.COM | ZEUS SECURITIES, INC. | ZEUS SECURITIES, INC | ZEUS FINANCIAL, LLC

CRD#: 18192 / SEC#: 8-36214
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)

Contact Information

Main Address

4800 T-rex Avenue Suite 100, Boca Raton, FL 33431

Mailing Address

4800 T-rex Avenue Suite 100, Boca Raton, FL 33431

Phone Number

(561) 708-0700

Established

Florida since 03/17/1986

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

FINRA licenses (30 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Direct owners and executive officers

NamePositionCRD#
BUTKEVITS, LETICIA VERAMEMBER6717105
ORCHID BAY FINANCIAL HOLDINGS, LLCMEMBER—
ACHILLE, RALPHCCO5875142
BUTKEVITS, VINCENT WILLIAM IIICEO1818987
KUMAR, PARDEEPMANAGING DIRECTOR5214503
SHUMBERG, IVANA MARCELLAFINOP/PFO3167225
TROUSDALE, LAUREN NICOLEFINOP/POO5622407

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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.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Nov 2011About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2014About the SIE exam

Series 3 — National Commodity Futures Examination

Passed Jul 2012About the Series 3 exam

Series 7 — General Securities Representative Examination

Passed Jun 2009About the Series 7 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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