James T. Garrett
Professional summary
James Terry Garrett JR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial professional and started their career in finance in 1991. Prior to being barred, James had worked at 4 firms, which includes CAROLINAS FIRST INVESTMENTS INC., DEWAAY FINANCIAL NETWORK LLC, FSC SECURITIES CORPORATION, MARION BASS SECURITIES CORPORATION.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 1998 - November 26, 2003
CAROLINAS FIRST INVESTMENTS, INC.
February 9, 1993 - September 10, 1999
DEWAAY FINANCIAL NETWORK, LLC
May 6, 1992 - January 1, 1993
FSC SECURITIES CORPORATION
November 21, 1991 - May 13, 1992
MARION BASS SECURITIES CORPORATION
State Registrations and Notice Filings
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Exams
Series 28
Date: 1/7/1993
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
CAROLINAS FIRST INVESTMENTS, INC.
CRD#: 43971 / SEC#: , 8-50507
Contact information
Documents
Disclosures
| Regulatory Event | 1 |
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