Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mary? Claim Your ProfileMary Theresa Gavin is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. based in Saratoga Springs, New York. Mary has been in the industry since 1998 and has extensive experience in the financial services sector. Previously, Mary worked for UBS Financial Services Inc. and Citigroup Global Markets Inc., gaining valuable insights and expertise. Mary holds the Series 63, Series 7, and SIE licenses and is registered with the Financial Industry Regulatory Authority (FINRA). Mary specializes in providing financial advice and investment management services for individuals, corporations, and institutional clients.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
03/22/2013 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARATOGA SPRINGS NY)
NY
02/16/2007 - 08/20/2012
UBS FINANCIAL SERVICES INC. (ALBANY NY)
NY
09/20/2000 - 02/26/2007
CITIGROUP GLOBAL MARKETS INC. (ALBANY NY)
NY
09/11/1998 - 09/18/2000
FIRST ALBANY CORPORATION (NEW YORK NY)
BC
Issued 09/28/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/09/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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