William J. Garvey

HILTON CAPITAL MANAGEMENT

Garden City, NY 11530

Some features on this profile are disabled

CRD#: 2336334

Professional summary

William James Garvey is a registered financial advisor currently at HILTON CAPITAL MANAGEMENT, LLC located in Garden City, New York.

William is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1993. William has worked at 3 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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) - RIA

Click below to view William James Garvey's CRS (Customer Relationship Summary).

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

July 13, 2021 - Present

HILTON CAPITAL MANAGEMENT, LLC

Office #1: 1010 Franklin Avenue, Garden City, NY 11530

RIA

CRD#: 116357

Garden City, NY

Past

September 14, 1993 - August 28, 1996

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

April 23, 1993 - August 25, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

HILTON CAPITAL MANAGEMENT, LLC

CRD#: 116357 / SEC#: 801-60776

RIA

Registered Investment Advisory firm - (1/2/2002 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(7/13/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 10/3/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/6/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/5/2008

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 4/22/1993

General Securities Representative Examination

Current Firm

HILTON CAPITAL MANAGEMENT, LLC

CRD#: 116357 / SEC#: 801-60776

RIA

Registered Investment Advisory firm - (1/2/2002 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1010 Franklin Avenue, Garden City, NY 11530

Mailing Address

Phone number

(516) 693-5380

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 - ADV-2A (3/29/2025)

Regulatory assets under management

Total Number of Accounts	1,288
AUM (Assets Under Management)	$ 2,931,323,336

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Similar Advisors

Peter Kettle

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Brooklyn, NY

Diane Finnerty

MORGAN STANLEY

IAR

New York, NY

Matthew James Wang

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

IAR

New York, NY

We're Here To Help

Advisor Monitoring

Firm Stability Insights

William J. Garvey

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view William James Garvey's CRS (Customer Relationship Summary).

Certified licenses

Experience

LEHMAN BROTHERS INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

HILTON CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/3/1996

Series 63

Date: 5/6/1993

Series 3

Date: 11/5/2008

Series 7

Date: 4/22/1993

Current Firm

HILTON CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

HILTON CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors