Joseph Mario Gavazza

Employer firm

Cambridge Investment Research Advisors, Inc. CRD 134139

$139B regulatory AUM 68,815 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Market timing

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

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

Current Employers

Employment History

• 12/2009 → Present
  Cambridge Investment Research, Inc
  Fairfield, IA
• 12/2009 → Present
  Cambridge Investment Research Advisors, Inc
  Fairfield, IA

Previous Registrations

• 2008-12-15 → 2009-11-18
  Woodbury Financial Services, Inc.
  Walnut Creek, CA
• 2005-01-04 → 2008-12-16
  Fsc Securities Corporation
  Walnut Creek, CA
  Walnut Creek, CA
  Walnut Creek, CA

Other Businesses

1. INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES SAN FRANCISOC,CA. 06/30/2002, INVESTMENT RELATED, 5/MONTHLY, .10/TRADE 2. CIRA, 1776 PLEASANT PLAIN ROAD, FAIRFIELD IA, AS ADVISORY REP OF A RIA. INVESTMENT RELATED 0/WEEK 0/TRADE. SEE EMPLOYMENT HISTORY FOR START DATE. 3. GAVAZZA & ASSOCIATES, ONE MARKET ST, 36TH FL, SAN FRANCISCO, CA, 4/2017 AS TAX PREPARER. NIR - 5/WK - 0/TRADING. 4. RENTAL PROPERTY OWNER, EL CERRITO, CA, 12/2005. NIR-250/YR-0/TRADING. 5. RENTAL PROPERTY, 5227 COLUMBIA AVE,RICHMOND, CA, 08/15/12, NIR, OWNER, PARTNER, 250/YR- 0/TRADING 6. GAVAZZA WEALTH MANAGEMENT, 50 California St., 15th Floor, San Francisco CA 94111, 04/05/2017, Owner, Tax Services, NIR, 0 HR/MO - 0 HR/MO TRADING

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-01-02
• S63 Uniform Securities Agent State Law Examination
  2002-08-08