Charles E. Garrity
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.
Charles Edward Garrity, who also goes by Chuck Garrity, was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1981. Charles had worked at 8 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2016 - November 17, 2016
KESTRA ADVISORY SERVICES, LLC
May 9, 2014 - September 22, 2016
KESTRA INVESTMENT SERVICES, LLC
January 9, 2003 - April 12, 2011
EXCELSIOR INVESTORS
November 12, 1998 - November 17, 2016
KESTRA INVESTMENT SERVICES, LLC
June 4, 1992 - November 30, 1998
SECURIAN FINANCIAL SERVICES, INC.
January 2, 1990 - June 16, 1992
JOHN HANCOCK DISTRIBUTORS LLC
December 23, 1988 - February 17, 1990
B.C. CHRISTOPHER SECURITIES CO.
August 18, 1983 - December 23, 1988
MORISON SECURITIES, INC.
December 17, 1981 - July 11, 1983
OSAIC FS, INC.
Primary Firm SEC Registration
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
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: 1/13/1972
Registered Representative ExaminationCurrent Firm
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330 / SEC#: 801-56126
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
