Michael J. Garvey
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.
Michael James Garvey was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1996. Michael had worked at 6 firms and has passed the Series 63, SIE, Series 7TO, Series 56 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 3, 2019 - April 15, 2025
ARDOUR CAPITAL INVESTMENTS, LLC
April 23, 2013 - October 13, 2015
KOYOTE TRADING LLC
February 4, 2009 - August 21, 2009
G-2 TRADING,LLC
December 3, 2008 - February 2, 2009
FIRST NEW YORK SECURITIES L.L.C.
April 11, 2001 - January 16, 2004
AG BD LLC
March 22, 1996 - March 13, 2001
CIBC WORLD MARKETS CORP.
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 7TO
Date: 6/26/2019
General Securities Representative ExaminationSeries 56
Date: 4/22/2013
Proprietary Trader Qualification ExaminationCurrent Firm
ARDOUR CAPITAL INVESTMENTS, LLC
CRD#: 120574 / SEC#: , 8-65317
Contact information
FINRA licenses (9 States and Territories)
Documents
Direct owners and executive officers
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
