Gary A. Garner
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.
Gary Allen Garner, who also goes by Gary A Garner, was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1964. Gary had worked at 8 firms and has passed the Series 63, PC, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 19, 2000 - December 23, 2011
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 3, 1997 - January 20, 2000
SILICON VALLEY SECURITIES, INC.
August 16, 1996 - November 19, 1997
ROBERT THOMAS SECURITIES, INC
September 5, 1990 - July 31, 1996
UBS FINANCIAL SERVICES INC.
May 14, 1988 - June 2, 1988
LEHMAN BROTHERS INC.
February 16, 1988 - September 12, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1974 - May 14, 1988
E. F. HUTTON & COMPANY INC
August 24, 1964 - April 2, 1974
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 7/7/1994
AMEX Put and Call ExamSeries 1
Date: 8/21/1964
Registered Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
Red Flags
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