Garrett L. Going
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.
Garrett Leonard Going, who also goes by Garrett L Going, was a registered financial professional .
Garrett is a previously registered financial professional and started their career in finance in 1993. Garrett had worked at 9 firms and has passed the Series 63, SIE, Series 55, Series 7 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
June 28, 2017 - August 7, 2018
TULLETT PREBON FINANCIAL SERVICES LLC
January 21, 2016 - January 28, 2016
JONESTRADING
September 8, 2004 - September 15, 2015
RAFFERTY CAPITAL MARKETS, LLC
April 24, 2003 - September 30, 2004
SYNDICATED CAPITAL, INC.
August 23, 2001 - April 8, 2003
A.B. WATLEY, INC.
July 8, 1999 - July 28, 2000
KAUFMAN BROS., L.P.
December 22, 1997 - June 11, 1999
CIBC WORLD MARKETS CORP.
June 9, 1995 - December 24, 1997
MORGAN STANLEY DW INC.
June 18, 1993 - June 28, 1995
UBS FINANCIAL SERVICES 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
Series 55
Date: 4/22/2002
Limited Representative-Equity Trader ExamCurrent Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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