Stephen J. Garry

STEPHEN J. GARRY & ASSOCIATES

Garden City, NY 11530

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CRD#: 2071478

Professional summary

Stephen Joseph Garry, CFP®, ChFC® is a registered financial advisor currently at STEPHEN J. GARRY & ASSOCIATES, LLC located in Garden City, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Garden City, New York.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Stephen has worked at 5 firms and has passed the Series 65, Series 63, Series 52TO, Series 99TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1. Stephen J Garry & Associates, LLC. Investment Related. At registered Location. RIA. Owner. 160 Hrs/Mo; All During Trading Hours. Investment Advice and Financial Planning. 2. PKS Financial. Investment Related. 80 State St, Albany, NY 12207. Insurance. Agent. 05/2018. 10 Hrs/Mo; 1 Hr During Trading Hours. Insurance and Annuity Sales. 3. Fixed Insurance. Investment Related. At registered Location. Insurance. Agent. 07/2018. 5 Hrs/Mo; 1 Hr During Trading Hours. Selling Life Insurance and Fixed Annuities. 4. Main Street Planning Group. Investment Related - Yes. At registered location. Insurance. Agent. 8/30/2023. 4 hours/mo. 4 hours/mo during traditional us market hours. Selling Fixed Insurance products.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Garry's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1994

ChFC^®

Chartered Financial Consultant

Experience

Current

June 3, 2021 - Present

STEPHEN J. GARRY & ASSOCIATES, LLC

Office #1: 990 Stewart Avenue Suite 190, Garden City, NY 11530

RIA

CRD#: 295068

Garden City, NY

Current

July 6, 2018 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 990 Stewart Avenue Suite 190, Garden City, NY 11530

CRD#: 35747

Garden City, NY

Past

January 27, 2010 - December 20, 2010

SECURITIES AMERICA, INC.

CRD#: 10205

GARDEN CITY, NY

Past

July 11, 1990 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

July 11, 1990 - July 10, 2018

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

GARDEN CITY, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STEPHEN J. GARRY & ASSOCIATES, LLC

CRD#: 295068 / SEC#: 801-113487

RIA

Registered Investment Advisory firm - (6/22/2018 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(7/6/2018)

Florida
(7/6/2018)

New Jersey
(7/6/2018)

New York
(7/6/2018)

IAR

New York
(6/3/2021)

North Carolina
(7/6/2018)

Pennsylvania
(10/6/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/3/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/10/1990

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 5/7/2005

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 3/31/2003

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/16/1998

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STEPHEN J. GARRY & ASSOCIATES, LLC

CRD#: 295068 / SEC#: 801-113487

RIA

Registered Investment Advisory firm - (6/22/2018 Approved)

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Contact information

Main Address

990 Stewart Avenue Suite 190, Garden City, NY 11530

Mailing Address

Phone number

(516) 280-5588

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A, 2B AND PRIVACY POLICY (3/24/2025)

Regulatory assets under management

Total Number of Accounts	423
AUM (Assets Under Management)	$ 123,578,947

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.

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Advisor Monitoring

Firm Stability Insights

Stephen J. Garry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Joseph Garry's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

SECURITIES AMERICA, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

STEPHEN J. GARRY & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/3/1996

Series 63

Date: 7/19/1990

Series 52TO

Date: 1/2/2023

Series 99TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/10/1990

Series 4

Date: 5/7/2005

Series 53

Date: 3/31/2003

Series 24

Date: 3/16/1998

FINRA

Current Firm

STEPHEN J. GARRY & ASSOCIATES, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEPHEN J. GARRY & ASSOCIATES, LLC

TRUST BUT VERIFY

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