Gavin Keith Farley
Professional Summary
Gavin Keith Farley is a registered financial advisor currently at AKUNA SECURITIES LLC located in Chicago, Illinois. Gavin is registered as a RR (Registered Representative) and started their career in finance in 2011. Gavin has worked at 2 firms and has passed the Series 57TO, SIE and Series 3 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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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
14 years in the financial services industry
Current & Past Employments
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Current Firm
AKUNA SECURITIES LLC
Contact Information
Main Address
333 S. Wabash Ave. Suite 2600, Chicago, IL 60604Mailing Address
333 S. Wabash Ave. Suite 2600, Chicago, IL 60604Phone Number
(312) 994-4640Established
Delaware since 08/12/2011Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
MediumDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
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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
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gavin Keith Farley's CRS (Customer Relationship Summary).
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