Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Garvin is a securities professional with over 35 years of experience in the industry. James is currently registered with Dealerweb Inc. and has held previous positions at Execution Access, LLC, Tradeweb LLC, Hilliard Farber Securities Corp. and The Stuart-James Company, Incorporated. James holds a Series 7, Series 63, Series 24, Series 4, Series 72 and SIE licenses.
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.
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.
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2
NJ
12/22/1989 - Present
Dealerweb Inc. (Jersey City NJ)
NY
07/20/2021 - 11/28/2022
EXECUTION ACCESS, LLC (NEW YORK NY)
NY
03/26/2014 - 02/23/2015
TRADEWEB L.L.C (NEW YORK NY)
NY
12/22/1989 - 07/06/2010
HILLIARD FARBER SECURITIES CORP. (NEW YORK NY)
CO
10/15/1986 - 04/27/1989
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
BC
Issued 11/03/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/01/2007
Series 24 - General Securities Principal Examination
BC
Issued 08/26/1988
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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