Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frank? Claim Your ProfileFrank Gauvain is a financial advisor who is currently registered with Keybanc Capital Markets Inc. Frank has been in the industry since 1996. Prior to joining Keybanc Capital Markets Inc. Frank worked at Morgan Joseph & Co. Inc. Frank is licensed to provide financial advice in 51 states and has held licenses with several other firms. Frank has a series 7, 63 and SIE license.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
1
2
MA
01/24/2008 - Present
Keybanc Capital Markets Inc. (BOSTON MA)
NY
07/11/2005 - 01/09/2008
MORGAN JOSEPH & CO. INC. (WHITE PLAINS NY)
NY
03/22/2005 - 07/12/2005
INDEPENDENT RESEARCH GROUP LLC (NEW YORK NY)
CT
12/03/2002 - 04/08/2005
ADVEST, INC. (HARTFORD CT)
NY
07/31/2001 - 12/02/2002
H.C. WAINWRIGHT & CO., INC. (NEW YORK NY)
MD
08/15/2000 - 08/07/2001
FERRIS, BAKER WATTS INCORPORATED (BALTIMORE MD)
CA
07/15/1996 - 01/07/2000
PREFERRED CAPITAL MARKETS, INC. (SAN FRANCISCO CA)
NJ
08/11/1995 - 06/19/1996
PERSHING TRADING COMPANY, L.P. (JERSEY CITY NJ)
MA
09/08/1994 - 09/14/1994
NEW ENGLAND FUNDS, L.P. (BOSTON MA)
BC
Issued 06/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Frank Gauvain is the right advisor for you? Invested Better is here to help.
