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Stephen Gavlick

Foreside Fund Services, LLC

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About Stephen Gavlick

Stephen Gavlick is a financial professional with over 20 years of experience in the financial services industry. He is currently registered with Foreside Fund Services, LLC and has held previous roles with UBS Global Asset Management (US) Inc., Investors Capital Corp., WS Griffith Securities, Inc., BlackRock Investments, Inc., and Salomon Smith Barney Inc. Stephen holds a variety of licenses and certifications, including Series 63, Series 24, SIE, Series 7TO, and Series 7. Stephen is registered in 46 states and the District of Columbia.

Firm Information

Stephen Gavlick is currently registered with Foreside Fund Services, LLC. Foreside Fund Services, LLC is a Limited Liability Company formed in 1998. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

625

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Stephen Gavlick’s Registration & Firm History

NJ

06/06/2023 - Present

Foreside Fund Services, LLC (Jersey City NJ)

NY

04/15/2004 - 11/18/2009

UBS GLOBAL ASSET MANAGEMENT (US) INC. (NEW YORK NY)

MA

11/21/2002 - 09/12/2003

INVESTORS CAPITAL CORP. (LYNNFIELD MA)

CT

10/04/2001 - 11/15/2002

WS GRIFFITH SECURITIES, INC. (HARTFORD CT)

NY

05/30/2001 - 09/21/2001

BLACKROCK INVESTMENTS, INC. (NEW YORK NY)

NY

09/12/2000 - 10/13/2000

SALOMON SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/30/2023

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/03/2024

Series 24 - General Securities Principal Examination

BC

Issued 06/06/2023

SIE - Securities Industry Essentials Examination

BC

Issued 01/27/2023

Series 7TO - General Securities Representative Examination

BC

Issued 09/11/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Stephen Gavlick.
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