Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Lloyd? Claim Your ProfileLloyd Gaw is a financial advisor at Raymond James & Associates, Inc., with over 35 years of experience in the industry. Lloyd is licensed to offer financial advice and sell securities in 29 states. Lloyd holds FINRA Series 3, 7, and 63 licenses, as well as a Series 65 license to provide investment advisory services. He is also a Certified Financial Planner (CFP). Lloyd has previously held positions at Wells Fargo Clearing Services, LLC and J.J.B Hilliard, W.L. Lyons, LLC. Lloyd provides a range of financial services, including financial planning, portfolio management, and pension consulting.
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.
Please see note in schedule d - miscellaneous
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.
1
2
TN
04/20/2022 - Present
Raymond James & Associates, Inc. (FRANKLIN TN)
TN
01/06/2012 - 04/18/2022
WELLS FARGO CLEARING SERVICES, LLC (NASHVILLE TN)
TN
03/21/1996 - 01/10/2012
J.J.B HILLIARD, W.L. LYONS, LLC (NASHVILLE TN)
NY
10/30/1992 - 03/26/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/01/1987 - 11/20/1992
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 10/23/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/15/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/01/1990
Series 3 - National Commodity Futures Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Lloyd Gaw is the right advisor for you? Invested Better is here to help.
