Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Garrity is a financial professional with over 30 years of experience in the industry. John has a strong background in securities and investment advisory services and holds the Series 3, 7, 14, 24, 63 and SIE licenses. John is currently registered with Aegis Capital Corp. in New York. Previously, John worked with MAXIM GROUP LLC, INVESTEC ERNST & COMPANY, STUART, COLEMAN & CO., INC., THE J.B. SUTTON GROUP, INC., PRIME CHARTER LTD., SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED, and DREXEL BURNHAM LAMBERT INCORPORATED. John is a skilled financial advisor with a proven track record of success in providing comprehensive financial planning and investment management services to a diverse clientele including individuals, corporations, and pooled investment vehicles.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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2
NY
11/15/2021 - Present
Aegis Capital Corp. (MELVILLE NY)
NY
09/25/2002 - 02/28/2020
MAXIM GROUP LLC (NEW YORK NY)
NY
06/01/1999 - 10/25/2002
INVESTEC ERNST & COMPANY (NEW YORK NY)
NY
08/16/1996 - 06/01/1999
STUART, COLEMAN & CO., INC. (NEW YORK NY)
NY
09/20/1995 - 09/17/1996
THE J.B. SUTTON GROUP, INC. (MELVILLE NY)
NY
05/25/1995 - 11/07/1995
STUART, COLEMAN & CO., INC. (NEW YORK NY)
NY
08/30/1990 - 06/28/1995
PRIME CHARTER LTD. (NEW YORK NY)
NY
05/23/1989 - 09/10/1990
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
NA
08/23/1988 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
BC
Issued 04/11/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 09/29/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/1988
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE Arca, Inc.
N
Nasdaq Stock Market
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