Thomas F Garvey
Professional Summary
Thomas F Garvey, who also goes by Thomas Francis Garvey, Thomas Garvey, Tom Garvey, is a registered financial advisor currently at DELAWARE DISTRIBUTORS, L.P. located in New York, New York. Thomas is registered as a RR (Registered Representative) and started their career in finance in 1997. Thomas has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 14 and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Thomas Francis Garvey, Thomas Garvey, Tom Garvey
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Years of Experience
29 years in the financial services industry
Current & Past Employments
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
Current Firm
DELAWARE DISTRIBUTORS, L.P. | DELAWARE DISTRIBUTORS,INC.
Contact Information
Main Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354Mailing Address
100 Independence 610 Market Street, Philadelphia, PA 19106-2354Phone Number
(215) 255-1200Established
Delaware since 12/21/1994Firm Type
PartnershipFiscal Year End
MarchFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DELAWARE INVESTMENTS DISTRIBUTION PARTNERS, INC. ("DIDP") | LIMITED PARTNER OF APPLICANT | — |
| IVY DISTRIBUTORS, INC. | LIMITED PARTNER OF APPLICANT | — |
| CONNOR, DAVID FORRESTER | DIRECTOR | 4243088 |
| DELAWARE CAPITAL MANAGEMENT, A SERIES OF NOMURA INVESTMENT MANAGEMENT BUSINESS TRUST,("DCM") | LIMITED PARTNER OF APPLICANT | — |
| DELAWARE DISTRIBUTORS, INC. ("DDI") | GENERAL PARTNER OF APPLICANT | — |
| GARVEY, THOMAS F | CHIEF COMPLIANCE OFFICER | 2845051 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | FINOP | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
Regulatory Event
3Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
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.
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
State Registrations and Notice Filings
(4/21/2026)
(4/21/2026)
(3/1/2021)
(3/1/2021)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 55 — Limited Representative-Equity Trader Exam
Passed Jul 1998SRO Registrations
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
CRS (Client Relationship Summary) - BD
Click below to view Thomas F Garvey's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT PLACE FINANCIAL ADVISORS, LLC
LPL FINANCIAL LLC
LPL FINANCIAL LLC
PROTOCOL WEALTH, LLC
