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TG

Thomas E. Gavin

GAR WOOD SECURITIES
Naperville, IL 60563
Some features on this profile are disabled
CRD#: 7982504
TG

Professional summary

Thomas E Gavin IV, who also goes by Thomas E Gavin, Thomas Edward Gavin, is a registered financial professional currently at GAR WOOD SECURITIES, LLC located in Naperville, Illinois.

Thomas is registered as a RR (Registered Representative) and started their career in finance in 2025. Thomas has worked at 1 firm and has passed the Series 7TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Thomas E Gavin | Thomas Edward Gavin

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) - BD

Click below to view Thomas E Gavin IV'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

August 21, 2025 - Present

GAR WOOD SECURITIES, LLC

Office #1: 1250 East Diehl Road Suite 115, Naperville, IL 60563
BD
CRD#: 138033
Naperville, IL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 7TO
Date: 8/21/2025
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/28/2024
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

GW
GAR WOOD SECURITIES, LLC
GAR WOOD SECURITIES, LLC | TOLEDOTRADE

CRD#: 138033 / SEC#: , 8-67143

BD
Broker-Dealer Firm Regulated by FINRA (Chicago district office)
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Contact information

Main Address
1250 East Diehl Road Suite 115, Naperville, IL 60563
Mailing Address
1250 East Diehl Road Suite 115, Naperville, IL 60563
Phone number
(312) 566-0741
Established
Delaware since 02/20/2004
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GERECKE, DENNIS ROBERTCLASS A MEMBER, EVP, COO, ROSFP1856554
JERSEY, ROBERT STANTONCEO, CLASS A MEMBER, SOLE MGR.1592359
ROETTGER, ANDREWCLASS B MEMBER7427489
JERSEY, RICHARD ANDREWCLASS B MEMBER8002945
DOOLEY, BRADFORD ROUTSIDE FINOP, PRIMARY FINANCIAL OFFICER, PRIMARY OPERATIONS OFFICER4308078
GANTAR, CRAIG MICHAELCLASS B MEMBER, SVP, SALES MANAGER3238628
GOUWENS, SHERRY LEECLASS B MEMBER , CHIEF ADMINISTRATIVE OFFICER4458617
JERSEY, ROBERT COLEMANCLASS B MEMBER, SVP - SENIOR RELATIONSHIP MGR5870086
TATTAS, MICHAEL CARLCLASS B MEMBER, CHIEF COMPLIANCE OFFICER4386824

Disclosures

Regulatory Event3

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

GAR WOOD SECURITIES, LLC

CRD#: 138033Naperville, IL 60563

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