Garland S. James
Professional summary
Garland Sean James was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Garland is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Garland had worked at 12 firms, which includes GARDEN STATE SECURITIES INC., GLOBAL ARENA CAPITAL CORP, CALDWELL INTERNATIONAL SECURITIES, HALLMARK INVESTMENTS INC., BRILL SECURITIES INC., WESTROCK ADVISORS INC., DPEC CAPITAL INC., GILFORD SECURITIES INCORPORATED, BISHOP ROSEN & CO. INC., LADENBURG THALMANN & CO. INC., GRUNTAL & CO. L.L.C., UBS FINANCIAL SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 2, 2014 - November 2, 2015
GARDEN STATE SECURITIES, INC.
February 14, 2014 - December 4, 2014
GLOBAL ARENA CAPITAL CORP
February 11, 2011 - March 7, 2012
CALDWELL INTERNATIONAL SECURITIES
July 13, 2009 - October 19, 2009
HALLMARK INVESTMENTS, INC.
January 9, 2009 - April 6, 2009
BRILL SECURITIES, INC.
April 2, 2004 - January 6, 2009
WESTROCK ADVISORS, INC.
April 17, 2003 - April 5, 2004
DPEC CAPITAL, INC.
February 16, 2001 - March 24, 2003
BRILL SECURITIES, INC.
January 24, 2001 - January 29, 2001
GILFORD SECURITIES INCORPORATED
June 10, 1999 - January 10, 2001
BISHOP, ROSEN & CO., INC.
July 29, 1998 - May 5, 1999
LADENBURG THALMANN & CO. INC.
June 9, 1994 - July 10, 1998
GRUNTAL & CO., L.L.C.
January 6, 1994 - April 20, 1994
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
Current Firm
GARDEN STATE SECURITIES, INC.
CRD#: 10083 / SEC#: , 8-25790
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| AMBROSINO, RAYMOND EDWARD | DIRECTOR/SHAREHOLDER | 2070784 |
| DEROSA, KEVIN JOHN | DIRECTOR/SHAREHOLDER | 2314895 |
| PERROTTO, LOUIS LUCKY JR | DIRECTOR/SHAREHOLDER/CHIEF EXECUTIVE OFFICER | 3053498 |
| SARI, SCOTT HENRY | DIRECTOR/SHAREHOLDER | 2226426 |
| MALONE, PATRICK ANTHONY | CHIEF SUPERVISORY OFFICER | 2143703 |
| MCMULLIN, ROBERT | CHIEF FINANCIAL OFFICER | 1540045 |
| TRIGILI, STEVEN DAVID | CHIEF COMPLIANCE OFFICER | 2232496 |
Disclosures
| Regulatory Event | 24 |
| Arbitration | 3 |
Red Flags
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