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GF

Gavin C. Finnical

LINDEN THOMAS ADVISORY SERVICES
CHARLOTTE, NC 28202
Some features on this profile are disabled
CRD#: 7390213
GF

Professional summary

Gavin C Finnical, who also goes by Gavin C Finnical, Gavin Finnical, is a registered financial advisor currently at LINDEN THOMAS ADVISORY SERVICES, LLC located in Charlotte, North Carolina and LINDEN THOMAS AND COMPANY SECURITIES, LLC located in Charlotte, North Carolina.

Gavin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Gavin has worked at 5 firms and has passed the Series 66, Series 63, Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Gavin C Finnical | Gavin Finnical

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.
Name: Insurance products other than Guardian Start Date: 08/04/2023 Address: 135 West Morehead St. Unit 432 Charlotte, NC, 28202 1 total hours per month 1 during securities trading hours Investment related less than 10% Annual compensation

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gavin C Finnical's CRS (Customer Relationship Summary).
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

February 3, 2025 - Present

LINDEN THOMAS ADVISORY SERVICES, LLC

Office #1: 516 North Tryon Street, Suite 200, Charlotte, NC 28202
RIA
CRD#: 288557
CHARLOTTE, NC
Current

February 3, 2025 - Present

LINDEN THOMAS AND COMPANY SECURITIES, LLC

Office #1: 516 N. Tryon Street, Charlotte, NC 28202
BD
CRD#: 290244
CHARLOTTE, NC
Past

September 5, 2023 - January 16, 2025

PARK AVENUE SECURITIES LLC

RIA
CRD#: 46173
CHARLOTTE, NC
Past

August 11, 2023 - January 16, 2025

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
CHARLOTTE, NC
Past

April 20, 2023 - July 18, 2023

NYLIFE SECURITIES LLC

BD
CRD#: 5167
CHARLOTTE, NC
Past

February 10, 2023 - February 21, 2023

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
CHARLOTTE, NC

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".
LT
LINDEN THOMAS ADVISORY SERVICES, LLC
LINDEN THOMAS ADVISORY SERVICES, LLC | STRATEGIC INDEX ADVISORS, LLC | LINDEN THOMAS AND COMPANY

CRD#: 288557 / SEC#: 801-110683

RIA
Registered Investment Advisory firm - (6/23/2017 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
North Carolina
(2/3/2025)
IAR
North Carolina
(2/3/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/29/2023
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/13/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/10/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/28/2022
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

LT
LINDEN THOMAS ADVISORY SERVICES, LLC
LINDEN THOMAS ADVISORY SERVICES, LLC | STRATEGIC INDEX ADVISORS, LLC | LINDEN THOMAS AND COMPANY

CRD#: 288557 / SEC#: 801-110683

RIA
Registered Investment Advisory firm - (6/23/2017 Approved)
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Contact information

Main Address
516 North Tryon Street, Suite 200, Charlotte, NC 28202
Mailing Address
Phone number
(704) 554-8150
Established
Firm type
Fiscal year end
# of Employees
11

SEC notice filing (13 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

LTAS PART 2A DISCLOSURE BROCHURE (3/28/2025)

Regulatory assets under management

Total Number of Accounts6,977
AUM (Assets Under Management)$ 1,633,842,616

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.

Company Information

LINDEN THOMAS ADVISORY SERVICES, LLC

CRD#: 288557Charlotte, NC 28202

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