Ava Gaines is a registered investment advisor, based in New York, NY, with 5 years of industry experience. Ava is also registered as a broker, so some compensation may come from commissions on products sold.
Location
30 Rockefeller Plaza, New York, NY, 10112
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Lazard Asset Management LLC
April 2022 - Present · 4 yrs 6 mos
Lazard Asset Management Securities LLCBroker
April 2022 - Present · 4 yrs 6 mos
Previous Registrations
Equitable Advisors, LLC
November 2020 - March 2022 · 1 yr 4 mos
Equitable Advisors, LLCBroker
October 2020 - March 2022 · 1 yr 5 mos
State Registrations52 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.
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