Gavin Mccormick
CFP®Professional Summary
Gavin Mccormick, CFP®, who also goes by Gavin Patrick Mccormick, is a registered financial advisor currently at WELLS FARGO CLEARING SERVICES, LLC located in Minneapolis, Minnesota and WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC located in St. Louis, Missouri. Gavin is registered as a RR (Registered Representative) and started their career in finance in 2010. Gavin has worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 9 and Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Gavin Patrick Mccormick
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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 on record.
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Credentials
Years of Experience
16 years registered in the securities industry
Current & Past Employments
Current
Past
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Contact Information
Main Address
One North Jefferson Avenue Mail Code: H0004-05e, St. Louis, MO 63103-2205Mailing Address
One North Jefferson Avenue H0004-05c, St. Louis, MO 63103Phone Number
(314) 875-3000Established
Delaware since 03/12/2003Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
4,047SEC notice filing (52 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 52 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | — |
| CRAVEN, JAMES J | BOARD OF MANAGERS | 4323533 |
| GINDI, SOL | BOARD OF MANAGERS | 4903526 |
| KARANIK, ERIK ANTHONY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER/CONTROL PRINCIPAL | 5616656 |
| MARKMANN, DAVID FRANZ | DESIGNATED TEXAS OFFICER | 2637778 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER | 5385585 |
| SANKOVICH, PAUL CAMERON | CHIEF COMPLIANCE OFFICER | 2475029 |
| TA, KIMBERLY CROWDER | BOARD OF MANAGERS/CONTROL PRINCIPAL | 4717506 |
| TYERS, JOHN R | PRESIDENT/BOARD OF MANAGERS/CONTROL PRINCIPAL | 2632380 |
Regulatory Assets Under Management
Total Number of Accounts
466,575AUM (Assets Under Management)
$252,251,271,984Disclosures
Regulatory Event
35Arbitration
39Accountant Surprise Examination Report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/17/2025 | Cover Page | Report |
| 01/24/2025 | Cover Page | Report |
| 12/11/2023 | Cover Page | Report |
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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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Primary Firm SEC Registration
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State Registrations and Notice Filings
(1/6/2026)
(6/17/2026)
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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Apr 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Sep 2022About the Series 9 examSRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Gavin Mccormick's CRS (Customer Relationship Summary).
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