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John Joseph Gavin Iii

Pcm Encore, LLC

Aspen, CO

Midlothian, VA

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Current Employers
Pcm Encore, Llc

520 E Cooper Ave. Ste. 7C, Aspen, CO 81611 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2024-11-19
  • VA RA
    APPROVED
    Since 2024-11-19

Branch Locations

520 E Cooper Ave. Ste. 7C, Aspen, CO 81611 • United States

Midlothian, VA • 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
Nuveen Investments Chicago IL 04/2015 08/2020
Nylife Distributors Midlothian VA 09/2020 01/2022
Fisher Investments Camas WA 01/2022 11/2024
Pcm Encore, Llc Midlothian VA 11/2024 Present
  • 04/2015 → 08/2020
    Nuveen Investments
    Chicago, IL
  • 09/2020 → 01/2022
    Nylife Distributors
    Midlothian, VA
  • 01/2022 → 11/2024
    Fisher Investments
    Camas, WA
  • 11/2024 → Present
    Pcm Encore, Llc
    Midlothian, VA
Previous Registrations
Other Businesses

EFFECTIVE 1/6/15 - DHDA,LLC - HOLDS RESIDENTIAL PROPERTIES FOR RENTAL INCOME.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2015-06-16
S63 Uniform Securities Agent State Law Examination 2005-08-17
  • S65 Uniform Investment Adviser Law Examination
    2015-06-16
  • S63 Uniform Securities Agent State Law Examination
    2005-08-17

View on SEC IAPD

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MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
WELLS FARGO CLEARING SERVICES, LLC
FOUNDATIONS INVESTMENT ADVISORS LLC

Other Investors

Jeffrey Allan Sgroi
ADAM STEVENSON
SARAH KATHERINE STACHNIK
JODY ANN SWAPP
CHRISTOPHER RICHARDS SABELLA
Charles C. Smith
Scott ROGER Mercier
BRIAN E OVERBO

Other Offices

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · ASPEN, CO
STEVENSON ADVISORS, LLC · ASPEN, CO
INTEGRATED BENEFITS, INCORPORATED · Aspen, CO
ASHTON THOMAS SECURITIES, LLC · Aspen, CO
J.P. MORGAN SECURITIES LLC · Aspen, CO
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · ASPEN, CO
WELLS FARGO CLEARING SERVICES, LLC · ASPEN, CO
FOUNDATIONS INVESTMENT ADVISORS LLC · ASPEN, CO

More in Aspen, CO

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