Unclaimed Profile

Gavin Wayne Stephens

GOELZER INVESTMENT MANAGEMENT, INC.·CARMEL, Indiana

Series 65Clean record11 years registeredGOELZER INVESTMENT MANAGEMENT, INC.

10 EAST MAIN STREET, CARMEL, IN 46032CRD# 6370628Firm CRD# 44402

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Gavin Wayne Stephens · CARMEL, IN

Registration

CRD #6370628 · GOELZER INVESTMENT MANAGEMENT, INC. · 11 years registered

Brand Profile

Not yet started

Career History

GOELZER INVESTMENT MANAGEMENT

Sep 2014 – present

Registrations & Exams

FINRA examinations passed

Series 65

Registration record

First registered · September 29, 2014

Years registered · 11

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

GOELZER INVESTMENT MANAGEMENT, INC.

CRD 44402 · SEC 801-55588

AUM

$3.2B

Regulatory assets under management

Employees

1,690 client accounts

Services offered by GOELZER INVESTMENT MANAGEMENT, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Security ratings or pricing services

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at GOELZER INVESTMENT MANAGEMENT, INC. →

Introduction

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Frequently Asked Questions

What services does Gavin Wayne Stephens offer?

Gavin Wayne Stephens specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in CARMEL, Indiana for a consultation.

What are Gavin Wayne Stephens's credentials?

Gavin Wayne Stephens is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Gavin Wayne Stephens located?

Gavin Wayne Stephens is based in CARMEL, Indiana, working with GOELZER INVESTMENT MANAGEMENT, INC.. Their office serves clients in the CARMEL metropolitan area and surrounding communities.

How does Gavin Wayne Stephens charge for services?

Gavin Wayne Stephens's firm is compensated through percentage of aum, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is GOELZER INVESTMENT MANAGEMENT, INC.?

GOELZER INVESTMENT MANAGEMENT, INC. has approximately 36 employees and manages $3.2B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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