Michael E. Gavin
Professional summary
Being a previously registered professional could mean that this person 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.
Michael Edward Gavin was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2012. Michael had worked at 1 firm and has passed the Series 63, Series 99TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 16, 2012 - September 29, 2025
WFS, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
WFS, LLC
CRD#: 116778 / SEC#: , 8-53565
Contact information
FINRA licenses (14 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WAINWRIGHT INVESTMENT COUNSEL, LLC | SHAREHOLDER | |
| ARISTIZABAL, GUSTAVO ADOLFO | CEO, BRANCH OFFICE MANAGER | 2735053 |
| LEONARD, MARGARET LORENE | CHIEF COMPLIANCE OFFICER | 2054939 |
| MARTINS, PAUL GEORGE | CHIEF FINANCIAL OFFICER, FINOP, PRINCIPAL FINANCIAL OFFICER | 1189296 |
| SIRACUSE, MICHAEL WILLIAM, III | PRINCIPAL OPERATIONS OFFICER | 4342076 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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