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Detailed Report
GAVIN ANDREW LEE
CRD#: 2406837
IA
Investment Adviser
B
Broker
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCCRD#: 149018 790 E. Colorado Blvd.
Suite 590
Pasadena, CA 91101
RAYMOND JAMES FINANCIAL SERVICES, INC.CRD#: 6694 790 E. Colorado Blvd.
Suite 590
Pasadena, CA 91101
Registration History
19952000200520102015202020252 FIRMS1997 - 2004 (6 years)2 FIRMS2004 - 2019 (15 years)2 FIRMS2019 - Present (5 years)BPRUCO SECURITIES CORPORATION (CRD# 5685)1995 - 1997 (1 year)BMML INVESTORS SERVICES, INC. (CRD# 10409)1993 - 1995 (1 year)
License(s)

State Registrations

B
Arizona 5/23/2019
B
Nevada 6/2/2023
B
California 5/23/2019
B
New Jersey 5/23/2019
IA
California 5/23/2019
B
New Mexico 9/7/2023
B
Colorado 5/23/2019
B
New York 1/15/2025
B
Florida 5/23/2019
B
Ohio 5/23/2019
B
Idaho 5/23/2019
B
Oregon 5/23/2019
B
Illinois 5/23/2019
B
South Carolina 1/3/2025
B
Indiana 5/3/2023
B
Texas 5/23/2019
B
Iowa 12/16/2022
IA
Texas 5/23/2019
B
Maryland 2/28/2025
B
Utah 5/23/2019
B
Michigan 6/21/2022
B
Washington 5/23/2019
B
Missouri 5/23/2019
B
West Virginia 7/28/2023

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC (CRD#:149018)
790 E. Colorado Blvd. Suite 590, Pasadena, CA 91101
Registered with this firm since 5/23/2019
B
RAYMOND JAMES FINANCIAL SERVICES, INC. (CRD#:6694)
790 E. Colorado Blvd. Suite 590, Pasadena, CA 91101
Registered with this firm since 5/23/2019
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 03/15/2004 - 05/28/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PASADENA, CA
B
 03/15/2004 - 05/28/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) PASADENA, CA
IA
 07/08/1997 - 03/22/2004 MERRILL LYNCH PIERCE FENNER & SMITH INC. (CRD#:7691) LOS ANGELES, CA
B
 05/08/1997 - 03/22/2004 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
B
 08/02/1995 - 01/28/1997 PRUCO SECURITIES CORPORATION (CRD#:5685) NEWARK, NJ
B
 12/13/1993 - 07/25/1995 MML INVESTORS SERVICES, INC. (CRD#:10409) SPRINGFIELD, MA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
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.
IA
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.