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Michael James Gavin

Edelman Financial Engines

Mandeville, LA

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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2017-03-23
LA RA APPROVED 2017-03-07
  • TX RA
    APPROVED_RES
    Since 2017-03-23
  • LA RA
    APPROVED
    Since 2017-03-07

Branch Locations

4 Sanctuary Boulevard Suite 200, Mandeville, LA 70471 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Scottrade Covington LA 07/2016 02/2017
Financial Engines Advisors L.L.C. Mandeville LA 02/2017 Present
  • 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
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1997-04-28
S63 Uniform Securities Agent State Law Examination 1988-04-08
  • 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

View on SEC IAPD

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JEFFREY DAVID BRUCE
STEWART RYAN SHIELDS
MICHAEL T HUERSTEL
DOUGLAS C TATE
RICHARD S DANIELSON
PHILBERT J DEMARIE
JEANINE MARIE CAZAUBON
DARRYL NORMAN MIERL

Other Offices

LPL FINANCIAL LLC · MANDEVILLE, LA
CONCURRENT INVESTMENT ADVISORS, LLC · Mandeville, LA
EAGLE STRATEGIES LLC · MANDEVILLE, LA
AMERIPRISE FINANCIAL SERVICES, LLC · MANDEVILLE, LA
LPL FINANCIAL LLC · MANDEVILLE, LA
SILVER OAK SECURITIES, INCORPORATED · MADISONVILLE, LA
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · MANDEVILLE, LA
GT FINANCIAL, LTD., L.L.C. · MANDEVILLE, LA

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