MG
Michael H. Gavan
RUSSELL INVESTMENTS
Eastchester, NY
Some features on this profile are disabled
CRD#: 5713786
MG
Professional summary
Michael Henry Gavan, CIMA® is a registered financial advisor currently at RUSSELL INVESTMENTS located in Eastchester, New York and RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Michael has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Henry Gavan's 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®
Experience
Current
September 16, 2020 - Present
RUSSELL INVESTMENTS
RIA
CRD#: 105734
Eastchester, NY
Current
July 2, 2019 - Present
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
Office #1: 575 Fifth Avenue Floor 35, New York, NY 10017BD
CRD#: 21771
New York, NY
Past
September 29, 2014 - July 1, 2019
AQUILA DISTRIBUTORS LLC
BD
CRD#: 1706
NEW YORK, NY
Past
October 28, 2011 - September 19, 2014
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
STATEN ISLAND, NY
Past
August 31, 2011 - September 19, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
STATEN ISLAND, NY
Past
November 8, 2010 - September 1, 2011
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
LAKE SUCCESS, NY
Past
August 4, 2010 - September 1, 2011
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
LAKE SUCCESS, NY
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".
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
CRD#: 105734 / SEC#: 801-17141
RIA
Registered Investment Advisory firm - (5/21/1982 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(7/2/2019)
RR
Alaska(7/2/2019)
RR
Arizona(7/2/2019)
RR
Arkansas(7/2/2019)
RR
California(7/2/2019)
RR
Colorado(7/2/2019)
RR
Connecticut(7/2/2019)
RR
Delaware(7/2/2019)
RR
District of Columbia(7/2/2019)
RR
Florida(7/2/2019)
RR
Georgia(7/2/2019)
RR
Hawaii(7/2/2019)
RR
Idaho(7/2/2019)
RR
Illinois(7/2/2019)
RR
Indiana(7/2/2019)
RR
Iowa(7/2/2019)
RR
Kansas(7/2/2019)
RR
Kentucky(7/2/2019)
RR
Louisiana(7/2/2019)
RR
Maine(7/2/2019)
RR
Maryland(7/2/2019)
RR
Massachusetts(7/2/2019)
RR
Michigan(7/2/2019)
RR
Minnesota(7/2/2019)
RR
Mississippi(7/2/2019)
RR
Missouri(7/2/2019)
RR
Montana(7/2/2019)
RR
Nebraska(7/2/2019)
RR
Nevada(7/2/2019)
RR
New Hampshire(7/2/2019)
RR
New Jersey(7/2/2019)
IAR
New Jersey(9/16/2020)
RR
New Mexico(7/2/2019)
RR
New York(7/2/2019)
RR
North Carolina(7/2/2019)
RR
North Dakota(7/2/2019)
RR
Ohio(7/2/2019)
RR
Oklahoma(7/2/2019)
RR
Oregon(7/2/2019)
RR
Pennsylvania(7/2/2019)
RR
Puerto Rico(7/2/2019)
RR
Rhode Island(7/2/2019)
RR
South Carolina(7/2/2019)
RR
South Dakota(7/2/2019)
RR
Tennessee(7/2/2019)
RR
Texas(7/2/2019)
RR
Utah(7/2/2019)
RR
Vermont(7/2/2019)
RR
Virgin Islands(7/2/2019)
RR
Virginia(7/2/2019)
RR
Washington(7/2/2019)
RR
West Virginia(7/2/2019)
RR
Wisconsin(7/2/2019)
RR
Wyoming(7/2/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
RI
RUSSELL INVESTMENTS
FRANK RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENTS | RUSSELL INVESTMENT MANAGEMENT, LLC | RUSSELL INVESTMENT MANAGEMENT COMPANY | RUSSELL INVESTMENT GROUP
CRD#: 105734 / SEC#: 801-17141
RIA
Registered Investment Advisory firm - (5/21/1982 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
1301 Second Avenue 18th Floor, Seattle, WA 98101
Mailing Address
Phone number
(206) 505-7877
Established
Firm type
Fiscal year end
# of Employees
589
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 69,312 |
| AUM (Assets Under Management) | $ 62,376,876,918 |
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.
