Albert Garfield
Professional Summary
Albert Garfield was a registered financial advisor. Albert was a previously registered financial professional and started their career in finance 1973 - 2002. Albert had worked at 13 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
53 years in the financial services industry
Current & Past Employments
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Current Firm
INVESTORS TRADING CORP. | OXFORD FINANCIAL GROUP | INVESTORS TRADING CORPORATION
Contact Information
Established
Texas since 01/08/1996Firm Type
CorporationFiscal Year End
MayDocuments
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| GALLERIA TRADING COMPANY | PARENT COMPANY | — |
| CLOUD, THOMAS JOHN JR | CEO | 1919679 |
Disclosures
Regulatory Event
1Arbitration
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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.
The advisor shows no other business activity.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Jan 1973Series 00 — General Securities Principal Examination
Passed Nov 1975Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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