Michael James Gavin

Employer firm

Edelman Financial Engines CRD 104510

$326B regulatory AUM 322,130 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Periodicals / newsletters

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 07/2016 → 02/2017
  Scottrade
  Covington, LA
• 02/2017 → Present
  Financial Engines Advisors L.L.C.
  Mandeville, LA

Previous Registrations

• 2017-01-27 → 2017-03-06
  Scottrade Investment Management
  Saint Louis, MO
• 2014-06-16 → 2016-07-13
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Rancho Cucamonga, CA
  Rancho Cucamonga, CA
  Rancho Cucamonga, CA
  Riverside, CA
  Riverside, CA
  Rancho Cucamonga, CA
• 2009-09-02 → 2014-06-06
  Td Ameritrade, Inc.
  Upland, CA
  Beverly Hills, CA
• 2009-09-02 → 2014-06-06
  Td Ameritrade Investment Management, Llc
  Rancho Cucamonga, CA
  Beverly Hills, CA
  Beverly Hills, CA
• 2004-04-22 → 2009-08-04
  Charles Schwab & Co., Inc.
  Pasadena, CA
  Glendale, CA

Exams

• S65 Uniform Investment Adviser Law Examination
  1997-04-28
• S63 Uniform Securities Agent State Law Examination
  1988-04-08

Other Names

• Michael James Smith
• Michael James Smith
• Michael James Gavin
• Michael J Gavin