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JG

James M. Garvin

DEALERWEB LLC
Jersey City, NJ 07311
Some features on this profile are disabled
CRD#: 1568471
JG

Professional summary

James Michael Garvin, who also goes by Mike Garvin, is a registered financial professional currently at DEALERWEB LLC located in Jersey City, New Jersey.

James is registered as a RR (Registered Representative) and started their career in finance in 1986. James has worked at 5 firms and has passed the Series 63, Series 72, SIE, Series 7, Series 24 and Series 4 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Mike Garvin

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Michael Garvin's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

December 22, 1989 - Present

DEALERWEB LLC

Office #1: 185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311
BD
CRD#: 19662
Jersey City, NJ
Past

July 20, 2021 - November 28, 2022

EXECUTION ACCESS, LLC

BD
CRD#: 148423
NEW YORK, NY
Past

March 26, 2014 - February 23, 2015

TRADEWEB LLC

BD
CRD#: 42759
NEW YORK, NY
Past

December 22, 1989 - July 6, 2010

HILLIARD FARBER SECURITIES CORP.

BD
CRD#: 18504
NEW YORK, NY
Past

October 15, 1986 - April 27, 1989

THE STUART-JAMES COMPANY, INCORPORATED

BD
CRD#: 11691
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 11/3/1986
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/20/1986
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/1/2007
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 8/26/1988
Registered Options Principal Examination
SRO Registrations
RR
FINRA

Current Firm

DL
DEALERWEB LLC
DEALERWEB INC. | HILLIARD FARBER & CO., INC. | DEALERWEB LLC

CRD#: 19662 / SEC#: , 8-38103

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311
Mailing Address
185 Hudson Street Harborside 5, Suite 2200, Jersey City, NJ 07311
Phone number
(212) 797-1980
Established
Delaware since 12/20/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (4 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
TRADEWEB IDB MARKETS, INC.OWNER
BRUNER, CHRISTIAN ADAMBOARD MEMBER5661505
CLACK, AMYBOARD MEMBER4882071
COTTER, RICHARD JOSEPH JRPRINCIPAL FINANCIAL OFFICER1611037
GALINDO, JORGE ALBERTO JRPRINCIPAL OPERATIONS OFFICER2501261
HUESTIS, TIMOTHY DANIELEXECUTIVE REPRESENTATIVE4931620
MCKEON, ALFRED PETERPRESIDENT1666355
SERRAO, ASHLEY NEILBOARD MEMBER5360541
SULLIVAN, MICHAEL FRANCISCHIEF COMPLIANCE OFFICER3254037
WOOD, ELISABETH KIRBYBOARD MEMBER4929181

Disclosures

Regulatory Event7

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

DEALERWEB LLC

CRD#: 19662Jersey City, NJ 07311

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