James M. Garvin
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.
James Michael Garvin, who also goes by Mike Garvin, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1986. James had worked at 5 firms and has passed the Series 63, Series 72, SIE, Series 7, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2021 - November 28, 2022
EXECUTION ACCESS, LLC
March 26, 2014 - February 23, 2015
TRADEWEB LLC
December 22, 1989 - July 6, 2010
HILLIARD FARBER SECURITIES CORP.
December 22, 1989 - January 8, 2026
DEALERWEB LLC
October 15, 1986 - April 27, 1989
THE STUART-JAMES COMPANY, INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
EXECUTION ACCESS, LLC
CRD#: 148423 / SEC#: , 8-68021
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
Red Flags
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