Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gavin? Claim Your ProfileGavin Andrew Lee is a financial advisor with Raymond James Financial Services Advisors, Inc. based in Pasadena, California. Gavin has over 28 years of experience in the financial services industry. Gavin holds Series 6, 7, 31, 63 and 65 securities licenses as well as a SIE. Gavin works with individual clients, businesses, trusts and estates, pension and profit-sharing plans, charitable organizations, and insurance companies. Gavin is a registered investment advisor in Texas and California. Prior to joining Raymond James, Gavin was a financial advisor at Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Pruco Securities Corporation.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Hourly & fixed rate consultations
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Per participant (erisa)
1
2
CA
05/23/2019 - Present
Raymond James Financial Services Advisors, Inc. (Pasadena CA)
CA
03/15/2004 - 05/28/2019
WELLS FARGO CLEARING SERVICES, LLC (PASADENA CA)
NY
05/08/1997 - 03/22/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NJ
08/02/1995 - 01/28/1997
PRUCO SECURITIES CORPORATION (NEWARK NJ)
MA
12/13/1993 - 07/25/1995
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
IA
Issued 06/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/01/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/18/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 05/06/1997
Series 7 - General Securities Representative Examination
BC
Issued 12/01/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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