Albert Garfield
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.
Albert Garfield was a registered financial professional .
Albert is a previously registered financial professional and started their career in finance in 1973. Albert had worked at 13 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 10, 1998 - December 31, 2002
OXFORD FINANCIAL GROUP
March 9, 1993 - October 29, 1998
TEXAS CAPITAL SECURITIES, INC.
April 23, 1991 - August 26, 1992
U.S. SECURITIES CLEARING CORP.
December 11, 1990 - March 13, 1991
CHATFIELD DEAN & CO., INC.
December 10, 1985 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
July 29, 1985 - November 18, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
April 2, 1985 - December 3, 1990
THE STUART-JAMES COMPANY, INCORPORATED
April 20, 1978 - January 16, 1980
BLINDER, ROBINSON & CO., INC.
November 23, 1977 - May 26, 1978
M. S. WIEN & CO., INC.
June 6, 1974 - January 5, 1978
UNIVERSAL HERITAGE INVESTMENTS CORPORATION
January 17, 1974 - July 11, 1974
INVESTORS FINANCIAL SERVICES, INC.
June 21, 1973 - February 21, 1974
FAIRMAN & CO.
February 27, 1973 - October 27, 1974
UNITED SECURITIES COMPANY OF AMERICA
January 19, 1973 - May 9, 1973
J SHAPIRO CO
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 1
Date: 1/15/1973
Registered Representative ExaminationSeries 00
Date: 11/10/1975
General Securities Principal ExaminationCurrent Firm
OXFORD FINANCIAL GROUP
CRD#: 40700 / SEC#: , 8-49153
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GALLERIA TRADING COMPANY | PARENT COMPANY | |
| CLOUD, THOMAS JOHN JR | CEO | 1919679 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
