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Detailed Report
MICHAEL JAMES GAVIN
MICHAEL J GAVIN, MICHAEL JAMES SMITH
CRD#: 1816450
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Investment Adviser
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Previous Broker
EDELMAN FINANCIAL ENGINESCRD#: 104510 4 SANCTUARY BOULEVARD
SUITE 200
MANDEVILLE, LA 70471
Registration History
199019952000200520102015202020253 FIRMS2009 - 2014 (4 years)2 FIRMS2014 - 2016 (2 years)IAEDELMAN FINANCIAL ENGINES (CRD# 104510)2017 - Present (8 years)BSCOTTRADE, INC. (CRD# 8206)2016 - 2017 (<1 year)BCHARLES SCHWAB & CO., INC. (CRD# 5393)1992 - 2009 (17 years)BWHEAT, FIRST SECURITIES, INC. (CRD# 6124)1990 - 1990 (<1 year)BPRUDENTIAL-BACHE SECURITIES INC. (CRD# 7471)1988 - 1990 (1 year)IASCOTTRADE INVESTMENT MANAGEMENT (CRD# 169988)2017 - 2017 (<1 year)IACHARLES SCHWAB & CO., INC. (CRD# 5393)2004 - 2009 (5 years)
Disclosure(s)
View By:
5/7/2013
Customer Dispute
Settled
License(s)

State Registrations

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Louisiana 3/7/2017
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Texas 3/23/2017
Current Registration(s)
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EDELMAN FINANCIAL ENGINES (CRD#:104510)
4 SANCTUARY BOULEVARD SUITE 200, MANDEVILLE, LA 70471
Registered with this firm since 3/7/2017
Previous Registration(s)
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 01/27/2017 - 03/06/2017 SCOTTRADE INVESTMENT MANAGEMENT (CRD#:169988) SAINT LOUIS, MO
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 07/06/2016 - 03/03/2017 SCOTTRADE, INC. (CRD#:8206) COVINGTON, LA
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 06/16/2014 - 07/13/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN BERNARDINO, CA
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 06/13/2014 - 07/13/2016 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) SAN BERNARDINO, CA
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 09/02/2009 - 06/06/2014 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) BEVERLY HILLS, CA
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 09/02/2009 - 06/06/2014 TD AMERITRADE, INC. (CRD#:7870) BEVERLY HILLS, CA
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 09/02/2009 - 06/06/2014 TD AMERITRADE, INC. (CRD#:7870) BEVERLY HILLS, CA
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 04/22/2004 - 08/04/2009 CHARLES SCHWAB & CO., INC. (CRD#:5393) PASADENA, CA
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 06/09/1992 - 08/04/2009 CHARLES SCHWAB & CO., INC. (CRD#:5393) PASADENA, CA
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 05/07/1990 - 06/22/1990 WHEAT, FIRST SECURITIES, INC. (CRD#:6124) CHARLOTTE, NC
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 11/23/1988 - 04/24/1990 PRUDENTIAL-BACHE SECURITIES INC. (CRD#:7471) NEW YORK, NY
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.