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Gavin Filmore

Chief Executive Officer / Director at Tidal Investments

Broker registration; no current adviser registration

Gavin Filmore is Chief Executive Officer / Director of Tidal Investments LLC, a Milwaukee investment adviser managing $45.8B. Gavin Filmore has a current broker registration and no current investment-adviser registration and has passed 5 licensing exams.

5
Licensing exams

From the IAPD record · data retrieved 18 October 2026SEC record

Career

Gavin Filmore has been Chief Executive Officer / Director of Tidal Investments since January 2026. Gavin Filmore is a control person of the firm and directly owns under 5% of it.

Tidal Investments LLC is a Milwaukee, WI firm with $45.8B under management, 343 clients and 50 advisers across 5 offices, as of its March 2026 filing.

Gavin Filmore is CEO of Tidal Financial Group. He previously led Exchange Traded Products at Barclays Capital.

No adviser firm registrations are on Gavin Filmore’s record.

Credentials and registrations

Examinations

Series 315 December 2021
Name
National Commodity Futures Examination
Series 2411 January 2019
Name
General Securities Principal Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 6329 September 2017
Name
Uniform Securities Agent State Law Examination
Series 76 September 2017
Name
General Securities Representative Examination
Series 992 August 2012
Name
Operations Professional Examination

Individual record

Full name
Gavin Clark Filmore
CRD
5217686

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Gavin Filmore work?

Gavin Filmore has been Chief Executive Officer / Director of Tidal Investments LLC since January 2026, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 March 2026

Does Gavin Filmore have a current investment-adviser registration?

Gavin Filmore has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 18 October 2026

What exams has Gavin Filmore passed?

Gavin Filmore has passed 5 licensing exams: the Series 99, Series 7, Series 63, Series 24 and Series 3. The earliest, the Series 99, was passed in August 2012. FINRA credited Gavin Filmore with the SIE, which began in October 2018.

Source: IAPD individual record, checked 18 October 2026

Leadership at Tidal Investments

Sources

  1. IAPD individual record, CRD 5217686. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Tidal Investments LLC, filed 27 March 2026. Title, control and ownership bands.
  3. Tidal Financial Group: Gavin Filmore. Biography.

Retrieved 18 October 2026. The SEC record may have been amended since.

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