Garvey W. Fox
Professional summary
Garvey William Fox JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Garvey is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, Garvey had worked at 4 firms, which includes COLEMAN & COMPANY SECURITIES INC., FIRST UNITED EQUITIES CORPORATION, A. R. BARON & CO. INC., D. H. BLAIR & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 3, 1997 - May 23, 1997
COLEMAN & COMPANY SECURITIES, INC.
September 13, 1995 - November 25, 1996
FIRST UNITED EQUITIES CORPORATION
January 26, 1994 - October 9, 1995
A. R. BARON & CO., INC.
October 16, 1991 - January 28, 1994
D. H. BLAIR & CO., INC.
State Registrations and Notice Filings
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Exams
Current Firm
COLEMAN & COMPANY SECURITIES, INC.
CRD#: 1486 / SEC#: , 8-2575
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMERICAN EAGLE FUNDING | SHAREHOLDER | |
| COLEMAN HOLDING CORPORATION | SHAREHOLDER | |
| SHAPIRO, ROBERT IRA | INTERIM CEO & PRESIDENT | 420115 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 9 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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