Richard D. Gardner
TVAMP
Knoxville, TN 37919
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CRD#: 7183415
Professional summary
Richard Dwain Gardner is a registered financial advisor currently at TVAMP, LLC located in Knoxville, Tennessee and LPL FINANCIAL LLC located in Knoxville, Tennessee.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Richard has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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.
1)05/2023 - Tennessee Valley Assest Management Partners, LLC - DBA for LPL Business (entity for LPL business) - Inv Rel - At Reported Business Location(s) - Start: 05/2023 2) 06/06/2023 - Tennessee Valley Asset Management Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - Advisor - Start Date 05/19/2023 - 160 Hours Per Month/ 40 Hours During Securities Trading - Time Spent 75% - I provide investment advisory services through Tennessee Valley Asset Management Partners, LLC an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial. 3) 06/06/2023 - Tennessee Valley Asset Management Partners, LLC - Investment Related - At Reported Business Location(s) - Registered Investment Advisor DBA - Advisor - Start Date 05/19/2023 - 160 Hours Per Month/ 40 Hours During Securities Trading - Time Spent 75% - I provide investment advisory services through Tennessee Valley Asset Management Partners, LLC an independent investment advisor firm. I started this business activity in 5/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, nature of its business, its owners and its services at http://www.adviserinfo.sec.gov/IAPD. This firm is separate and independent of LPL Financial.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Dwain Gardner'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®
NoneExperience
Current
May 30, 2023 - Present
TVAMP, LLC
Office #1: 6025 Brookvale Lane Suite 160, Knoxville, TN 37919RIA
CRD#: 160321
Knoxville, TN
Current
May 30, 2023 - Present
LPL FINANCIAL LLC
Office #1: 6025 Brookvale Lane Ste 160, Knoxville, TN 37919RIA
BD
CRD#: 6413
Knoxville, TN
Past
December 18, 2019 - May 31, 2023
EDWARD JONES
RIA
CRD#: 250
KNOXVILLE, TN
Past
November 22, 2019 - May 31, 2023
EDWARD JONES
BD
CRD#: 250
KNOXVILLE, TN
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".
TL
TVAMP, LLC
BRIDGEWORKS DIVORCE FINANCIAL PLANNING | TVAMP, LLC | TVAMP | TENNESSEE VALLEY ASSET MANAGEMENT PARTNERS, LLC
CRD#: 160321 / SEC#: 801-96325
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/22/2015 Terminated)Tennessee
Registered Investment Advisory firm - (5/29/2015 Terminated)Texas
Registered Investment Advisory firm - (5/22/2015 Terminated)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
Arkansas(9/13/2023)
RR
California(9/13/2023)
RR
Florida(5/30/2023)
RR
Georgia(5/30/2023)
RR
Illinois(9/13/2023)
RR
Kentucky(5/30/2023)
RR
Mississippi(5/30/2023)
RR
North Carolina(5/30/2023)
RR
Ohio(9/14/2023)
RR
South Carolina(5/30/2023)
RR
Tennessee(5/30/2023)
IAR
Tennessee(5/30/2023)
RR
Texas(11/7/2023)
RR
Virginia(5/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/22/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TL
TVAMP, LLC
BRIDGEWORKS DIVORCE FINANCIAL PLANNING | TVAMP, LLC | TVAMP | TENNESSEE VALLEY ASSET MANAGEMENT PARTNERS, LLC
CRD#: 160321 / SEC#: 801-96325
RIA
Registered Investment Advisory firm - (5/18/2015 Approved)Florida
Registered Investment Advisory firm - (5/22/2015 Terminated)Tennessee
Registered Investment Advisory firm - (5/29/2015 Terminated)Texas
Registered Investment Advisory firm - (5/22/2015 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6025 Brookvale Lane Suite 160, Knoxville, TN 37919
Mailing Address
Phone number
(865) 226-9982
Established
Firm type
Fiscal year end
# of Employees
32
SEC notice filing (18 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,768 |
| AUM (Assets Under Management) | $ 1,000,508,308 |
Red Flags
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Company Information
TVAMP, LLC
CRD#: 160321Knoxville, TN 37919TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
