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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames David Garrity is an investment advisor representative at Morgan Stanley. James has been in the industry since November 21, 1989. James has been registered with Morgan Stanley since December 2015. Prior to that, James worked at Credit Suisse Securities (USA) LLC. James is a registered representative in 29 states and is registered as an investment advisor representative in 5 states. James holds Series 3, 7, 10, 9, 63, and 65 licenses. James also provides financial planning, pension consulting, educational seminars and selection of other advisors. James has offices in La Jolla, CA, Salt Lake City, UT and Washington, DC.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
CA
02/14/2022 - Present
Morgan Stanley (La Jolla CA)
DC
01/17/2003 - 12/21/2015
CREDIT SUISSE SECURITIES (USA) LLC (WASHINGTON DC)
NJ
03/02/2000 - 01/17/2003
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
NY
11/22/1989 - 03/17/2000
GOLDMAN, SACHS & CO. (NEW YORK NY)
IA
Issued 01/14/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/05/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/08/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/18/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/09/1990
Series 3 - National Commodity Futures Examination
BC
Issued 11/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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