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Garrett Lawson Farnsworth

CRD# 1874996·Registered 1988 - 1992
Previously Registered: Being a previously registered professional could mean that Garrett 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.

Professional Summary

Garrett Lawson Farnsworth, who also goes by Garrett Lawson Fransworth, was a registered financial advisor. Garrett was a previously registered financial professional and started their career in finance 1988 - 1992. Garrett had worked at 14 firms and has passed the Series 63 and Series 7 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Garrett Lawson Fransworth

Blog Corner

More Resources

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

Past

CASTLE SECURITIES CORP.Past·CRD# 16077
BD
January 30, 1992 - June 5, 1992
TAMARON INVESTMENTS, INC.Past·CRD# 14929
BD
December 6, 1991 - January 28, 1992
SCHNEIDER SECURITIES, INC.Past·CRD# 16434
BD
June 26, 1991 - October 30, 1991
FIRST AMERICA EQUITIES CORP.Past·CRD# 7652
BD
December 23, 1989 - September 13, 1991
SMITH, BENTON & HUGHES, INC.Past·CRD# 20877
BD
March 26, 1991 - June 7, 1991
SECURITIES AMERICA, INC.Past·CRD# 10205
BD
February 15, 1991 - May 10, 1991
G. K. SCOTT & CO., INC.Past·CRD# 3305
BD
January 3, 1991 - February 7, 1991
BRENNAN ROSS SECURITIES, INC.Past·CRD# 18363
BD
August 23, 1990 - September 14, 1990
ADVENT SECURITIES, INC.Past·CRD# 16499
BD
June 1, 1989 - December 23, 1989
FIRST CHOICE SECURITIES CORP.Past·CRD# 17021
BD
May 17, 1989 - June 2, 1989
U.S. ADVISORS, INC.Past·CRD# 10721
BD
March 29, 1989 - May 17, 1989
CHATFIELD DEAN & CO., INC.Past·CRD# 14714
BD
March 3, 1989 - March 14, 1989
INVESTORS CENTER, INC.Past·CRD# 14670
BD
January 5, 1989 - March 10, 1989
FAIRCHILD FINANCIAL GROUP, INC.Past·CRD# 21404
BD
December 20, 1988 - January 9, 1989

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Current Firm

CS
CASTLE SECURITIES CORP.

CASTLE SECURITIES CORP.

CRD#: 16077 / SEC#: 8-34049
BD
Terminated by SEC on 12/30/2003

Contact Information

Established

New York since 12/05/1984

Firm Type

Corporation

Fiscal Year End

September

Documents

Direct owners and executive officers

NamePositionCRD#
CASTLE HOLDING CORP.SHAREHOLDER—
LIEBESKIND, CHRISTINEVICE PRESIDENT, SROP,CROP2845489
NEWSOME, SHAKESPEARECOMPLIANCE OFFICER1777098
STUDER, MICHAEL THOMASPRESIDENT, SECRETARY, TREASURER707394

Disclosures

Regulatory Event

13

Civil Event

1

Arbitration

5

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Jan 1989About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Dec 1988About the Series 7 exam

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CRS (Client Relationship Summary)

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

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