Irving T. Carey
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.
Irving Thomas Carey, who also goes by Irving Thomas Carey, was a registered financial professional .
Irving is a previously registered financial professional and started their career in finance in 1991. Irving had worked at 12 firms and has passed the Series 66, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2011 - May 21, 2013
GIRARD SECURITIES, INC.
October 24, 2011 - May 22, 2013
UNITED CAPITAL FINANCIAL ADVISORS
August 27, 2007 - November 7, 2011
LPL FINANCIAL LLC
August 27, 2007 - November 7, 2011
LPL FINANCIAL LLC
March 15, 2006 - October 11, 2006
CHASE INVESTMENT SERVICES CORP.
March 8, 2006 - October 11, 2006
CHASE INVESTMENT SERVICES CORP.
July 29, 2005 - December 31, 2005
NEXT FINANCIAL GROUP, INC.
July 29, 2005 - December 31, 2005
NEXT FINANCIAL GROUP, INC.
April 12, 2004 - August 1, 2005
CEDRUS
April 12, 2004 - August 1, 2005
J. SCOTT SECURITIES CORP.
March 1, 2000 - March 12, 2004
CHARLES SCHWAB & CO., INC.
October 4, 1995 - March 12, 2004
CHARLES SCHWAB & CO., INC.
October 7, 1993 - December 16, 1993
STRATEGIC RESOURCE MANAGEMENT, INC.
June 11, 1993 - October 6, 1993
R.K. STEELE
April 1, 1993 - May 24, 1993
SCHNEIDER SECURITIES, INC.
June 5, 1992 - July 8, 1992
STRATEGIC RESOURCE MANAGEMENT, INC.
October 9, 1991 - April 3, 1992
H.J. MEYERS & CO., INC.
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
Series 8
Date: 8/5/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
GIRARD SECURITIES, INC.
CRD#: 18697 / SEC#: 801-61470, 8-36920
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CHARGERS ACQUISITION LLC | SHAREHOLDER | |
| BALLARD, JAMES DAVID | VP | 1714327 |
| BARRAGAN, JOHN ARTHUR III | PRESIDENT/COO | 2941942 |
| GRAHAM, LUANNE MARIE | ADVISORY CCO | 2310126 |
| HARRISON, BRETT LAMAR | DIRECTOR | 4032238 |
| JACOBSEN, BRYAN K | B-D CCO, SECRETARY | 3055957 |
| KLICMAN, SHIRLEY ANNE | VP | 1771713 |
| OLSON, GREGORY ALAN | ASST. SECRETARY | 2692482 |
| ROGERS, JASON DYLAN | SENIOR EXECUTIVE VP | 2641674 |
| SHERROD, TRACI LYNN | AVP | 4321192 |
| SMILEY, STANLEY ROBERT | VP | 3004604 |
| TIETJEN, MARGARET SUSAN | CHIEF EXECUTIVE OFFICER/ DIRECTOR | 1294862 |
Disclosures
| Regulatory Event | 2 |
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.
