Garrett R. Gaylor
Professional summary
Garrett Randell Gaylor was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Garrett is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Garrett had worked at 17 firms, which includes JOSEPH STONE CAPITAL L.L.C., CAPE SECURITIES INC., FIRST MIDWEST SECURITIES INC., PHD CAPITAL, LIBERTY PARTNERS FINANCIAL SERVICES LLC, NEWBRIDGE SECURITIES CORPORATION, AURA FINANCIAL SERVICES INC., SALOMON GREY FINANCIAL CORPORATION, WEATHERLY SECURITIES CORPORATION, SHARPE CAPITAL INC., J.P. TURNER & COMPANY L.L.C., SCHNEIDER SECURITIES INC., SIGNATOR INVESTORS INC., PRESTON LANGLEY ASSET MANAGEMENT INC., FIRST ASSET MANAGEMENT INC., RUSSO SECURITIES INC., U.S. SECURITIES CLEARING CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2015 - April 13, 2020
JOSEPH STONE CAPITAL L.L.C.
June 20, 2013 - September 23, 2015
CAPE SECURITIES INC.
July 18, 2012 - July 18, 2013
FIRST MIDWEST SECURITIES, INC.
November 29, 2010 - July 18, 2012
PHD CAPITAL
February 12, 2010 - September 7, 2010
PHD CAPITAL
November 12, 2009 - December 17, 2009
LIBERTY PARTNERS FINANCIAL SERVICES, LLC
October 20, 2008 - March 25, 2009
NEWBRIDGE SECURITIES CORPORATION
January 31, 2007 - September 26, 2008
AURA FINANCIAL SERVICES, INC.
February 27, 2006 - August 9, 2006
FIRST MIDWEST SECURITIES, INC.
November 2, 2000 - March 9, 2006
SALOMON GREY FINANCIAL CORPORATION
August 28, 2000 - September 12, 2000
WEATHERLY SECURITIES CORPORATION
January 28, 2000 - August 18, 2000
SHARPE CAPITAL, INC.
January 19, 1999 - May 26, 1999
J.P. TURNER & COMPANY, L.L.C.
August 26, 1997 - December 1, 1998
SCHNEIDER SECURITIES, INC.
May 23, 1997 - September 30, 1997
SIGNATOR INVESTORS, INC.
November 9, 1995 - April 24, 1997
PRESTON LANGLEY ASSET MANAGEMENT, INC.
February 28, 1995 - November 10, 1995
FIRST ASSET MANAGEMENT, INC.
April 1, 1993 - March 20, 1995
RUSSO SECURITIES INC.
January 20, 1993 - March 16, 1993
U.S. SECURITIES CLEARING CORP.
State Registrations and Notice Filings
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Exams
Current Firm
JOSEPH STONE CAPITAL L.L.C.
CRD#: 159744 / SEC#: , 8-69014
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 3 |
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