Thomas F. Garvey
Professional summary
Thomas F Garvey, who also goes by Thomas Francis Garvey, Thomas Garvey, Tom Garvey, is a registered financial professional 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.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Thomas F Garvey's CRS (Customer Relationship Summary).
Certified licenses
Experience
March 1, 2021 - Present
DELAWARE DISTRIBUTORS, L.P.
Office #1: 660 5th Ave, New York, NY 10103June 15, 2020 - March 1, 2021
MACQUARIE CAPITAL (USA) INC.
July 29, 2015 - September 11, 2018
J.P. MORGAN SECURITIES LLC
July 5, 2007 - July 1, 2015
MACQUARIE CAPITAL (USA) INC.
March 6, 2006 - June 15, 2007
MORGAN STANLEY & CO. LLC
May 1, 2001 - February 13, 2006
J.P. MORGAN SECURITIES INC.
June 9, 2000 - May 1, 2001
JPMSI
September 1, 1998 - May 23, 2000
ROBERTSON STEPHENS, INC.
October 1, 1997 - September 1, 1998
BANCAMERICA SECURITIES, INC.
June 4, 1997 - October 1, 1997
ROBERTSON, STEPHENS & COMPANY LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(3/1/2021)
(3/1/2021)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/31/1998
Limited Representative-Equity Trader ExamFINRA
Current Firm
DELAWARE DISTRIBUTORS, L.P.
CRD#: 14232 / SEC#: , 8-29755
Contact information
FINRA licenses (53 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 MACQUARIE 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) | FINOP | 5089370 |
| HOBAN, STEPHEN (NO MIDDLE NAME) | VP/CHIEF FINANCIAL OFFICER | 5089370 |
| HUTCHINSON, MILISSA ANN | PRESIDENT | 5727922 |
| LYTLE, SHAWN KEITH | DIRECTOR | 5816747 |
| SALUS, RICHARD (NO MIDDLE NAME) | DIRECTOR | 2850592 |
Disclosures
| Regulatory Event | 3 |
Red Flags
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