George P. 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.
George Paul Garvey was a registered financial professional .
George is a previously registered financial professional and started their career in finance in 1995. George had worked at 10 firms and has passed the Series 63, Series 55, Series 7 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 2, 2011 - October 23, 2012
A.B. WATLEY DIRECT, INC.
January 2, 2009 - December 14, 2009
A.B. WATLEY DIRECT, INC.
September 25, 2006 - November 24, 2008
RAFFERTY CAPITAL MARKETS, LLC
November 7, 2005 - September 15, 2006
A.B. WATLEY DIRECT, INC.
October 27, 2004 - July 19, 2005
MELHADO, FLYNN & ASSOCIATES, INC.
October 29, 2002 - November 14, 2003
A.B. WATLEY, INC.
June 11, 2002 - July 9, 2002
J.P.R. CAPITAL CORP.
May 9, 2002 - May 24, 2002
WORLDCO, L.L.C.
February 26, 2001 - April 18, 2001
CENTENNIAL VENTURES, LTD.
July 2, 1999 - February 5, 2001
A.B. WATLEY, INC.
September 11, 1997 - July 6, 1999
BNY MELLON SECURITIES CORPORATION
September 7, 1995 - October 8, 1996
THE BOSTON GROUP
February 21, 1995 - September 8, 1995
STRATTON OAKMONT 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
Series 55
Date: 4/12/2001
Limited Representative-Equity Trader ExamCurrent Firm
A.B. WATLEY DIRECT, INC.
CRD#: 18663 / SEC#: , 8-36903
Contact information
Documents
Disclosures
| Regulatory Event | 16 |
| Arbitration | 1 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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