Jerold T. Garvey

LIQUIDNET

NEW YORK, NY 10281

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CRD#: 2234448

Professional summary

Jerold T Garvey, who also goes by Jerold Thomas Garvey, Jerold Garvey, Jerry Garvey, is a registered financial professional currently at LIQUIDNET, INC. located in New York, New York.

Jerold is registered as a RR (Registered Representative) and started their career in finance in 1992. Jerold has worked at 6 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 3, Series 7, Series 10, Series 9, Series 24 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jerold Thomas Garvey | Jerold Garvey | Jerry Garvey

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerold T Garvey's CRS (Customer Relationship Summary).

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

March 5, 2020 - Present

LIQUIDNET, INC.

Office #1: 200 Vesey Street 5th Floor, New York, NY 10281

CRD#: 103987

NEW YORK, NY

Past

June 29, 2009 - February 14, 2020

STIFEL, NICOLAUS & COMPANY, INCORPORATED

CRD#: 793

BOSTON, MA

Past

May 1, 2006 - June 2, 2009

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

BOSTON, MA

Past

July 7, 2004 - March 20, 2006

WELLS FARGO SECURITIES, LLC

CRD#: 126292

BOSTON, MA

Past

March 5, 1998 - July 19, 2004

NATIONAL FINANCIAL SERVICES LLC

CRD#: 13041

BOSTON, MA

Past

June 15, 1992 - February 19, 1998

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(3/5/2020)

California
(3/5/2020)

Colorado
(3/5/2020)

Connecticut
(3/5/2020)

Delaware
(3/5/2020)

Illinois
(3/5/2020)

Massachusetts
(3/5/2020)

Michigan
(3/5/2020)

New York
(3/5/2020)

Ohio
(3/5/2020)

Oregon
(3/5/2020)

Pennsylvania
(3/5/2020)

South Carolina
(3/5/2020)

Texas
(3/5/2020)

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

LIQUIDNET, INC.

CRD#: 103987 / SEC#: , 8-52461

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

200 Vesey Street 5th Floor, New York, NY 10281

Mailing Address

200 Vesey Street 5th Floor, New York, NY 10281

Phone number

(212) 208-7061

Established

Delaware since 01/12/2000

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
ICAP GLOBAL BROKING INC	SOLEMEMBER
BOND, ROBERT	CEO/DIRECTOR	4121948
GOULET, STEPHEN PAUL	SENIOR MANAGING DIRECT/GENERAL COUNSEL/SECRETARY	4769810
HALLIGAN, BRIAN J	CHIEF COMPLIANCE OFFICER	5016364
PEZEU, CHRISTIAN JEAN MICHEL	CHIEF FINANCIAL OFFICER	5661987

Disclosures

Regulatory Event

Red Flags

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Jerold T. Garvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jerold T Garvey's CRS (Customer Relationship Summary).

Certified licenses

Experience

STIFEL, NICOLAUS & COMPANY, INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

WELLS FARGO SECURITIES, LLC

NATIONAL FINANCIAL SERVICES LLC

LEHMAN BROTHERS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/2/1992

Series 57TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 55

Date: 4/25/2000

Series 3

Date: 9/28/1995

Series 7

Date: 6/13/1992

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 7/29/2020

Series 8

Date: 12/1/1998

FINRA

Nasdaq Stock Market

Current Firm

LIQUIDNET, INC.

Contact information

FINRA licenses (16 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

LIQUIDNET, INC.

TRUST BUT VERIFY

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