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LG

Luanne M. Garvey

Some features on this profile are disabled
CRD#: 1640295
LG

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.

Luanne Morris Garvey, who also goes by Luanne Morris, was a registered financial professional .

Luanne is a previously registered financial professional and started their career in finance in 1987. Luanne had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Luanne Morris

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 13, 2017 - January 9, 2018

YIELDSTREET MARKETS LLC

BD
CRD#: 172295
NEW YORK, NY
Past

May 30, 2014 - January 16, 2015

FIRST SAVINGS SECURITIES, INC.

BD
CRD#: 132016
DOYLESTOWN, PA
Past

October 21, 2013 - December 19, 2013

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

April 5, 2012 - December 19, 2013

STERLING CAPITAL DISTRIBUTORS, LLC

BD
CRD#: 103934
BERWYN, PA
Past

April 5, 2012 - December 19, 2013

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
BERWYN, PA
Past

April 5, 2012 - December 19, 2013

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
BERWYN, PA
Past

April 5, 2012 - December 19, 2013

FAIRHOLME DISTRIBUTORS, LLC

BD
CRD#: 150987
BERWYN, PA
Past

March 18, 2011 - December 19, 2013

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
BERWYN, PA
Past

May 29, 2008 - December 21, 2009

PACER FINANCIAL, INC.

BD
CRD#: 137040
PAOLI, PA
Past

January 27, 1999 - January 28, 2008

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
KING OF PRUSSIA, PA
Past

January 4, 1999 - January 26, 1999

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
Past

January 22, 1997 - December 31, 1998

FPS BROKER SERVICES, INC.

BD
CRD#: 25065
KING OF PRUSSIA, PA
Past

March 24, 1993 - June 9, 1995

INDEPENDENT FINANCIAL SECURITIES, INC.

BD
CRD#: 19924
Past

June 8, 1987 - April 2, 1993

GLOBAL ATLANTIC DISTRIBUTORS, LLC

BD
CRD#: 8326
HARTFORD, CT

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: 3/15/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/21/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/30/1987
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/13/2013
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/29/2011
Investment Company Products/Variable Contracts Principal Examination

Current Firm

YM
YIELDSTREET MARKETS LLC
REALCADRE COMPANY | YIELDSTREET MARKETS LLC | REALCADRE LLC

CRD#: 172295 / SEC#: , 8-69506

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

Main Address
300 Park Avenue 15th Floor, New York, NY 10022
Mailing Address
300 Park Avenue 15th Floor, New York, NY 10022
Phone number
(844) 943-5378
Established
Delaware since 06/15/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
QUADRO PARTNERS, LLCHOLDING COMPANY
DOHERTY, JAMES HUGHPRINCIPAL OPERATIONS OFFICER4197747
KERR, PETERCHIEF EXECUTIVE OFFICER, INTERIM CHIEF COMPLIANCE OFFICER5843450
SINELNIKOV, PETER SERGEYPRINCIPAL FINANCIAL OFFICER6493208

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

YIELDSTREET MARKETS LLC

CRD#: 172295

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