David M. Garrity
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.
David Matthew Garrity, who also goes by David M Garrity, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1989. David had worked at 13 firms and has passed the Series 63, SIE, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 28, 2017 - July 9, 2018
VENTURE.CO BROKERAGE SERVICES LLC
December 8, 2009 - June 23, 2017
WHITEMARSH CAPITAL ADVISORS
November 10, 2006 - July 15, 2008
DINOSAUR FINANCIAL GROUP, L.L.C
April 26, 2006 - September 18, 2006
DINOSAUR FINANCIAL GROUP, L.L.C
October 6, 2005 - April 6, 2006
HAPOALIM SECURITIES USA, INC.
February 6, 2004 - June 30, 2005
CARIS & COMPANY, INC.
September 4, 2002 - February 23, 2004
BROADPOINT AMTECH, INC.
May 7, 2002 - September 10, 2002
HOTOVEC, POMERANZ & CO., LLC
July 31, 1999 - November 13, 2001
COMMERZ MARKETS LLC
December 23, 1997 - September 9, 1998
CIBC WORLD MARKETS CORP.
December 14, 1995 - December 19, 1997
CITIGROUP GLOBAL MARKETS INC.
March 11, 1993 - July 8, 1994
KEYBANC CAPITAL MARKETS INC.
May 7, 1990 - March 12, 1992
NOMURA SECURITIES INTERNATIONAL, INC.
June 20, 1989 - April 4, 1990
ROBERT W. BAIRD & CO. INCORPORATED
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
VENTURE.CO BROKERAGE SERVICES LLC
CRD#: 173924 / SEC#: , 8-69560
Contact information
Documents
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.
