Bobby J. Garrison
Professional summary
Bobby Joe Garrison JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Bobby is a previously registered financial professional and started their career in finance in 1986. Prior to being barred, Bobby had worked at 15 firms, which includes AMERICAN GENERAL SECURITIES INCORPORATED, SPELMAN & CO. INC., NEW ENGLAND SECURITIES, 1717 CAPITAL MANAGEMENT COMPANY, THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY, SIGNATOR INVESTORS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, THE ADVISORS GROUP INC., IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC, INVEST FINANCIAL CORPORATION, CAPITAL BROKERAGE CORPORATION, WADDELL & REED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 1997 - October 12, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
September 24, 1996 - December 31, 1996
SPELMAN & CO., INC.
November 30, 1993 - March 15, 1996
NEW ENGLAND SECURITIES
March 30, 1993 - November 11, 1993
1717 CAPITAL MANAGEMENT COMPANY
July 29, 1992 - March 31, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 29, 1992 - March 31, 1993
EQUITABLE ADVISORS, LLC
July 16, 1991 - June 12, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
July 16, 1991 - June 12, 1992
SIGNATOR INVESTORS, INC.
June 5, 1991 - June 26, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 20, 1991 - April 29, 1991
THE ADVISORS GROUP, INC.
May 31, 1990 - March 13, 1991
IDS LIFE INSURANCE COMPANY
May 31, 1990 - March 13, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
July 25, 1989 - May 8, 1990
INVEST FINANCIAL CORPORATION
June 14, 1988 - May 9, 1989
CAPITAL BROKERAGE CORPORATION
January 7, 1986 - July 6, 1988
WADDELL & REED
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
AMERICAN GENERAL SECURITIES INCORPORATED
CRD#: 13626 / SEC#: , 8-29542
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AIG ADVISOR GROUP, INC. | OWNER | |
| AULD, JEFFREY MICHAEL | PRESIDENT, CEO | 857528 |
| BROWN, JAMES BURKE | SENIOR VICE PRESIDENT | 1664825 |
| DENBY, SUSANNE MARIE | FIRST VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 2617514 |
| HARRELL, JERI MICHELLE | ASSISTANT VICE PRESIDENT, PRODUCT SALES AND MARKETING | |
| HOLLAR, RICHARD ALLEN | DIRECTOR | 248628 |
| LONG, CRAIG MCCUTCHEON | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | 1406115 |
| NIXON, CHRISTINE | DIRECTOR | |
| PARKER, RALPH JOEL | ASSISTANT VICE PRESIDENT | 2587496 |
| ROTHSTEIN, STEVEN ELLIOT | CHIEF FINANCIAL OFFICER, DIRECTOR | 1292456 |
| SORKIN, NOAH DAVID | SENIOR VICE PRESIDENT, GENERAL COUNSEL | 1832767 |
| TUCK, ELIZABETH MARGARET | ASSISTANT SECRETARY | 4075693 |
| WILLIAMS, DANIEL ONIEL | VICE PRESIDENT, TREASURER | |
| WINTER, MATTHEW EVAN | DIRECTOR | 2598136 |
Disclosures
| Regulatory Event | 5 |
| Arbitration | 5 |
Red Flags
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