Ryan Gaum

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Current Employers

Morgan Stanley

2000 Westchester Avenue, Purchase, NY 10577-2530 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2024-07-23
TX	RA	APPROVED	2024-07-22

FL RA
APPROVED

Since 2024-07-23
TX RA
APPROVED

Since 2024-07-22

Branch Locations

100 North Tampa Street Suite 3000, Tampa, FL 33602 • 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

Organization	City	State	From	To
Wells Fargo Advisors, Llc	Wilmington	NC	12/2015	01/2020
Fidelity Brokerage Services Llc	Jacksonville	FL	02/2020	10/2021
Citigroup	Jacksonville	FL	10/2021	11/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Jacksonville	FL	11/2022	06/2024
Morgan Stanley	Tampa	FL	07/2024	Present

12/2015 → 01/2020

Wells Fargo Advisors, Llc

Wilmington, NC
02/2020 → 10/2021

Fidelity Brokerage Services Llc

Jacksonville, FL
10/2021 → 11/2022

Citigroup

Jacksonville, FL
11/2022 → 06/2024

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL
07/2024 → Present

Morgan Stanley

Tampa, FL

Previous Registrations

2022-12-22 → 2024-07-03

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Jacksonville, FL
2022-01-05 → 2022-11-29

Citigroup Global Markets Inc.

Jacksonville, FL

Jacksonville, FL
2015-12-07 → 2020-01-22

Wells Fargo Clearing Services, Llc

Raleigh, NC

Wilmington, NC

Jacksonville, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-10-14

S66 Uniform Combined State Law Examination

2015-10-14

Other Names

Ryan M. Gaum
Ryan Gaum
Ryan Matthew Gaum

View on SEC IAPD

Other Firms

STRATEGIC WEALTH INVESTMENT GROUP, LLC

INDEPENDENT ADVISOR ALLIANCE, LLC

UNITED CAPITAL FINANCIAL ADVISORS

FLORIDA FINANCIAL ADVISORS, LLC

AE WEALTH MANAGEMENT, LLC

INDEPENDENT FINANCIAL PARTNERS

AMERICAN FAMILY LEGACY GROUP

Other Investors

PETER CASEY GAYLE

John Luke Robinson

JANET L CHRISTIANSEN

MATTHEW VERSAGE

Martin Adolfo Montana

Frank Cooper Finley

Jeferson Josue Velasquez

Other Offices

STRATEGIC WEALTH INVESTMENT GROUP, LLC · Tampa, FL

INDEPENDENT ADVISOR ALLIANCE, LLC · Tampa, FL

UNITED CAPITAL FINANCIAL ADVISORS · TAMPA, FL

FLORIDA FINANCIAL ADVISORS, LLC · Tampa, FL

AE WEALTH MANAGEMENT, LLC · Tampa, FL

INDEPENDENT FINANCIAL PARTNERS · TAMPA, FL

TRUADVISORS · TAMPA, FL

AMERICAN FAMILY LEGACY GROUP · TAMPA, FL

More in Tampa, FL

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