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RIA / WealthAdvisordual registered (broker-dealer)14 years in industry

Glen Gaylord Gavin

Advisor at UBS FINANCIAL SERVICES INC.

SPOKANE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8c8d22b0-f0e9-cb64-3443-e29ac343847d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Jun 4, 2019 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: UBS FINANCIAL SERVICES INC.
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jun 1, 2012earliest registration or exam on IAPD
Years in industry: 14derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Jun 3, 2019
First registration: Jun 4, 2019
Dual registered: yes, broker-dealer
Other names: Glen Gavin|Glen Gaylord Gavin
IAPD individual key: 5986218

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
UBS FINANCIAL SERVICES INC.	Wirehouse	Sep 23, 2024	n/a	yes	SPOKANE, WA	Current employment
JMK & ASSOCIATES, LLC	Independent wealth	Mar 9, 2021	Aug 19, 2024	no	SPOKANE, WA	Previous registration
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Former SEC adviser	Sep 17, 2020	Jun 30, 2021	no	Spokane, WA\|OLYMPIA, WA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Jun 4, 2019	Sep 9, 2020	no	SPOKANE, WA\|NEW YORK, NY	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
JMK & ASSOCIATES, LLC	UBS FINANCIAL SERVICES INC.	Aug 19, 2024	Sep 23, 2024	35	Firm change	RIA to wirehouse
FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	JMK & ASSOCIATES, LLC	Jun 30, 2021	Mar 9, 2021	-113	Firm change after gap	RIA to new firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	FINANCIAL ADVOCATES INVESTMENT MANAGEMENT	Sep 9, 2020	Sep 17, 2020	8	Firm change	Wirehouse to RIA

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
151298:312760:WA:2021-06-30	Jun 30, 2021	Mar 9, 2021	OLYMPIA, WA	Firm change after gap

Relationships

Registered with (4)

→ UBS FINANCIAL SERVICES INC.Registered adviserregistration: current employment
Sep 23, 2024 to presentfactForm ADV
→ JMK & ASSOCIATES, LLCRegistered adviserregistration: previous registration
Mar 9, 2021 to Aug 19, 2024factForm ADV
→ FINANCIAL ADVOCATES INVESTMENT MANAGEMENTRegistered adviserregistration: previous registration
Sep 17, 2020 to Jun 30, 2021factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Jun 4, 2019 to Sep 9, 2020factForm ADV

Dated events

Occurred
Aug 19, 2024
Advisor changed firm
Glen Gaylord Gavin left Jmk & Associates, Llc for Ubs Financial Services Inc. (registered 2024-09-23)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c8d22b0-f0e9-cb64-3443-e29ac343847d
First observed: Jun 4, 2019
Last observed: Sep 14, 2026 6 days ago
Source families: Federal regulator filings
1 registered feed stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Glen Gaylord Gavin

Advisor at UBS FINANCIAL SERVICES INC.

SPOKANE, WA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8c8d22b0-f0e9-cb64-3443-e29ac343847d

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 2:38 AM UTC and rebuilt at most every 15 minutes.

Firm

Class

Began

Ended

Current

Branch

Basis

UBS FINANCIAL SERVICES INC.

Wirehouse

Sep 23, 2024

n/a

yes

SPOKANE, WA

Current employment

JMK & ASSOCIATES, LLC

Independent wealth

Mar 9, 2021

Aug 19, 2024

SPOKANE, WA

Previous registration

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

Former SEC adviser

Sep 17, 2020

Jun 30, 2021

Spokane, WA|OLYMPIA, WA

Previous registration

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Wirehouse

Jun 4, 2019

Sep 9, 2020

SPOKANE, WA|NEW YORK, NY

Previous registration

From

Left

Joined

Gap, days

Kind

Move type

JMK & ASSOCIATES, LLC

UBS FINANCIAL SERVICES INC.

Aug 19, 2024

Sep 23, 2024

Firm change

RIA to wirehouse

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

JMK & ASSOCIATES, LLC

Jun 30, 2021

Mar 9, 2021

-113

Firm change after gap

RIA to new firm

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

FINANCIAL ADVOCATES INVESTMENT MANAGEMENT

Sep 9, 2020

Sep 17, 2020

Firm change

Wirehouse to RIA

Team

Left

Joined

From

Kind

151298:312760:WA:2021-06-30

Jun 30, 2021

Mar 9, 2021

OLYMPIA, WA

Firm change after gap