Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thomas? Claim Your ProfileThomas Garvey is a financial professional with over 30 years of experience in the financial services industry. Thomas is currently registered with Cetera Financial Specialists LLC in Rome, GA. He is a Series 6, 7, and 66 licensed professional and holds the SIE certification. Thomas has previously held positions with LPL Financial LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Pruco Securities, LLC., and The Prudential Insurance Company of America.
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
GA
06/05/2024 - Present
Cetera Financial Specialists LLC (ROME GA)
GA
10/23/2014 - 02/15/2024
TRIAD ADVISORS LLC (ATLANTA GA)
AL
02/18/2011 - 10/23/2014
LPL FINANCIAL LLC (OXFORD AL)
AL
08/05/2008 - 02/01/2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ANNISTON AL)
AL
08/03/1990 - 06/30/2008
PRUCO SECURITIES, LLC. (ANNISTON AL)
NJ
08/03/1990 - 12/10/1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
BOTH
Issued 10/18/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/03/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/2008
Series 7 - General Securities Representative Examination
BC
Issued 08/01/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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