John M. Gavin

EMPIRICAL RESEARCH PARTNERS LLC

NEW YORK, NY 10176

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CRD#: 5911258

Professional summary

John Michael Gavin III is a registered financial advisor currently at EMPIRICAL RESEARCH PARTNERS LLC located in New York, New York.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. John has worked at 4 firms and has passed the Series 65, 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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Gavin III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Michael Gavin III'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®

None

Experience

Current

August 23, 2023 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 551 Fifth Avenue Suite 1800, New York, NY 10176

RIA

CRD#: 123520

NEW YORK, NY

Current

March 8, 2016 - Present

EMPIRICAL RESEARCH PARTNERS LLC

Office #1: 551 Fifth Avenue Suite 1800, New York, NY 10176

RIA

CRD#: 123520

NEW YORK, NY

Past

May 29, 2014 - December 21, 2015

CORNERSTONE MACRO LLC

CRD#: 168152

New York, NY

Past

October 11, 2011 - May 20, 2013

WOLFE RESEARCH SECURITIES

CRD#: 151850

NEW YORK, NY

Past

September 16, 2011 - September 20, 2011

GLEACHER & COMPANY SECURITIES, INC.

CRD#: 298

NEW YORK, NY

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.

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

New York
(3/8/2016)

IAR

New York
(8/23/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/28/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/2011

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EMPIRICAL RESEARCH PARTNERS LLC

CRD#: 123520 / SEC#: , 8-65590

New York

Registered Investment Advisory firm - SEC (8/23/2023 Approved)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

551 Fifth Avenue Suite 1800, New York`, NY 10176

Mailing Address

551 Fifth Avenue Suite 1800, New York, NY 10176

Phone number

(212) 803-8000

Established

Delaware since 06/25/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
GOLDSTEIN, MICHAEL LEWIS	MANAGING MEMBER / CHIEF COMPLIANCE OFFICER	1661076
SCHILLING, MICHAEL JAMES	FINOP	2609624

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.

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John M. Gavin

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John Michael Gavin III's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view John Michael Gavin III's CRS (Customer Relationship Summary).

Certified licenses

Experience

EMPIRICAL RESEARCH PARTNERS LLC

CORNERSTONE MACRO LLC

WOLFE RESEARCH SECURITIES

GLEACHER & COMPANY SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 6/28/2023

Series 63

Date: 11/21/2011

SIE

Date: 10/1/2018

Series 7

Date: 9/15/2011

FINRA

Current Firm

EMPIRICAL RESEARCH PARTNERS LLC

Contact information

FINRA licenses (2 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EMPIRICAL RESEARCH PARTNERS LLC

TRUST BUT VERIFY

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