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Kevin Dale Gaut

LPl Financial LLC

Ada, MI

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2024-05-29
MI RA APPROVED 2023-04-26
  • TX RA
    APPROVED
    Since 2024-05-29
  • MI RA
    APPROVED
    Since 2023-04-26

Branch Locations

971 Spaulding Ave Se, Suite A, Ada, MI 49301-3701 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Principal Life Insurance Company Grand Rapids MI 06/2016 04/2023
Principal Securities Inc Grand Rapids MI 07/2016 04/2023
Lpl Financial Llc Ada MI 04/2023 Present
Previous Registrations
  • 2016-07-14 → 2023-04-19
    Principal Securities, Inc.
    Grand Rapids, MI
    Grand Rapids, MI
    Des Moines, IA
    Grand Rapids, MI
    Grand Rapids, MI
    Wauwatosa, WI
    Downers Grove, IL
  • 2016-03-15 → 2016-06-16
    Pnc Wealth Management Llc
    Holland, MI
    Holland, MI
    Holland, MI
    Holland, MI
    Grand Haven, MI
  • 2012-10-08 → 2016-03-14
    Morgan Stanley
    Grand Rapids, MI
  • 2010-10-26 → 2012-09-14
    Guggenheim Investments
    New York, NY
  • 2009-01-26 → 2010-10-28
    Rydex Advisory Services, Llc
    Rockville, MD
  • 2008-04-16 → 2008-08-12
    Morgan Stanley & Co. Llc
    Grand Rapids, MI
Other Businesses

1) 04/2023 - Discovery Financial, LLC - DBA for LPL Business (entity for LPL business) - Inv. Related - Ada, MI

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-03-21
  • S66 Uniform Combined State Law Examination
    2008-03-21
Other Names
  • Kevin Dale Gaut
  • Kevin Gaut

View on SEC IAPD

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Other Offices

J.P. MORGAN SECURITIES LLC · ADA, MI
IM WEALTH · ADA, MI
COMMONWEALTH FINANCIAL NETWORK · Ada, MI
EVERSOURCE WEALTH ADVISORS, LLC · Ada, MI
EDWARD JONES · ADA, MI
VALOR WEALTH GROUP, LLC · ADA, MI
RAYMOND JAMES & ASSOCIATES, INC. · Ada, MI
EDWARD JONES · ADA, MI

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