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Gavin James Ugone

Novem Group

Topsfield, MA

Rochester, NY

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Current Employers
Novem Group

350 Linden Oaks Suite 140, Rochester, NY 14625 • United States

Current Registrations

AuthorityCategoryStatusDate
MA RA APPROVED 2021-08-19
  • MA RA
    APPROVED
    Since 2021-08-19

Branch Locations

7 Grove Street Ste 301, Topsfield, MA 01983 • United States

350 Linden Oaks Suite 140, Rochester, NY 14625 • 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
Novem Group Topsfield MA 03/2021 Present
American Portfolios Financial Services, Inc. Topsfield MA 03/2021 10/2024
Trinity College Hartford CT 09/2013 05/2017
American Renal Associates Beverly MA 06/2017 03/2021
American Renal Associates Beverly MA 06/2016 09/2016
  • 03/2021 → Present
    Novem Group
    Topsfield, MA
  • 03/2021 → 10/2024
    American Portfolios Financial Services, Inc.
    Topsfield, MA
  • 09/2013 → 05/2017
    Trinity College
    Hartford, CT
  • 06/2017 → 03/2021
    American Renal Associates
    Beverly, MA
  • 06/2016 → 09/2016
    American Renal Associates
    Beverly, MA
Other Businesses

1) TOPSFIELD FINANCIAL GROUP, DBA, EMPLOYEE, START DATE 3/2021

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2021-07-09
  • S65 Uniform Investment Adviser Law Examination
    2021-07-09
Other Names
  • Gavin Ugone

View on SEC IAPD

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OSAIC WEALTH, INC.

Other Investors

JOHN G BALZER
JOHN H AKOURY
ANDREW SCOTT KEHOE
PAUL DAVID FORTIN
JAMES DAVID BAGA
PETER EARL MULHOLLAND
BRIAN ANDREW WOODLAND
CYNTHIA MAE DEAL

Other Offices

PARK AVENUE SECURITIES LLC · TOPSFIELD, MA
HARBOR ISLAND CAPITAL LLC · TOPSFIELD, MA
ESSEX PRIVATE WEALTH MANAGEMENT LLC · TOPSFIELD, MA
NOVEM GROUP · TOPSFIELD, MA
LPL FINANCIAL LLC · TOPSFIELD, MA
TAPPARO CAPITAL MANAGEMENT · TOPSFIELD, MA
APELLA WEALTH · Topsfield, MA
LPL FINANCIAL LLC · TOPSFIELD, MA

More in Topsfield, MA

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