Thomas M. Garity
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.
Thomas Malcolm Garity, who also goes by Thomas M Garity, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1971. Thomas had worked at 5 firms and has passed the Series 63, Series 5, Series 12, Series 4 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
April 19, 1991 - November 3, 1997
CLARK MELVIN SECURITIES CORPORATION
October 31, 1989 - April 26, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 24, 1981 - November 15, 1989
KIDDER, PEABODY & CO. INCORPORATED
May 24, 1979 - September 15, 1980
FIRST PENNCO SECURITIES, INC.
April 8, 1971 - June 17, 1981
THE SECURITIES CORPORATION OF PUERTO RICO
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 5
Date: 10/23/1981
Interest Rate Options ExaminationSeries 12
Date: 2/23/1984
NYSE Branch Manager ExaminationSeries 00
Date: 3/21/1971
General Securities Principal ExaminationCurrent Firm
CLARK MELVIN SECURITIES CORPORATION
CRD#: 1462 / SEC#: , 8-8968
Contact information
Documents
Red Flags
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