Garner A. Mabry
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.
Garner Allen Mabry III, who also goes by Garner Allen Mabry, was a registered financial professional .
Garner is a previously registered financial professional and started their career in finance in 1973. Garner had worked at 8 firms and has passed the Series 65, Series 63, Series 3, PC, Series 1 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 2000 - December 31, 2000
FIRST WALL STREET CORP.
March 8, 1997 - July 7, 1999
SUTRO & CO. INCORPORATED
October 29, 1996 - March 6, 1997
NORCROSS & COMPANY
August 20, 1993 - October 17, 1996
PIPER SANDLER & CO.
September 19, 1990 - August 18, 1993
UBS FINANCIAL SERVICES INC.
May 31, 1988 - September 18, 1990
MORGAN STANLEY DW INC.
September 26, 1978 - June 7, 1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 4, 1973 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, 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
PC
Date: 9/8/1977
AMEX Put and Call ExamSeries 1
Date: 8/29/1973
Registered Representative ExaminationSeries 8
Date: 4/27/1994
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FIRST WALL STREET CORP.
CRD#: 13024 / SEC#: , 8-28441
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 3 |
Red Flags
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