Paul T. Garvey
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Thomas Garvey was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1983. Paul had worked at 7 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 3, 2004 - September 26, 2005
STERLING FINANCIAL INVESTMENT GROUP, INC.
October 19, 1998 - September 9, 2002
KIRLIN SECURITIES INC.
February 6, 1996 - October 5, 1998
H.J. MEYERS & CO., INC.
February 1, 1993 - June 7, 1994
MCCLURG CAPITAL CORPORATION
May 29, 1987 - February 5, 1993
LEHMAN BROTHERS INC.
December 18, 1984 - June 5, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
November 25, 1983 - December 17, 1984
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STERLING FINANCIAL INVESTMENT GROUP, INC.
CRD#: 41506 / SEC#: , 8-49503
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STERLING FINANCIAL GROUP OF COMPANIES, INC. (F/K/A STERLING FINANCIAL HOLDINGS INC.) | COMPANY | |
| GARCIA, CHARLES PATRICK | CHIEF EXECUTIVE OFFICER | 2933864 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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