Garland W. Mcdonald
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.
Garland Williamhenry Mcdonald, who also goes by Garland William Mcdonald, Garland William Henry Mcdonald, was a registered financial professional .
Garland is a previously registered financial professional and started their career in finance in 1974. Garland had worked at 11 firms and has passed the Series 7, Series 1 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 9, 1992 - December 3, 1992
FFP SECURITIES, INC.
May 29, 1991 - March 7, 1992
U.S. SECURITIES CLEARING CORP.
January 16, 1991 - May 29, 1991
BILTMORE EQUITIES & SECURITIES, LTD.
June 18, 1989 - December 7, 1990
SUNAMERICA SECURITIES, INC.
November 15, 1984 - June 18, 1989
SOUTHMARK FINANCIAL SERVICES, INC.
March 23, 1982 - August 13, 1984
DOMIK CORP.
November 14, 1978 - October 10, 1979
LEHMAN BROTHERS INC.
April 4, 1978 - December 7, 1978
PHIL YOUNG SECURITIES, INC
January 18, 1978 - May 15, 1978
LOEB PARTNERS
December 2, 1976 - January 20, 1978
LOEB, RHOADES & CO. INC.
July 19, 1974 - October 2, 1976
RAUSCHER PIERCE REFSNES, 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 1
Date: 7/23/1974
Registered Representative ExaminationSeries 40
Date: 8/12/1978
Registered Principal ExaminationCurrent Firm
FFP SECURITIES, INC.
CRD#: 16337 / SEC#: , 8-33728
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANCED EQUITIES FINANCIAL CORP. | 100% OWNERSHIP | |
| DOZA, JANICE M | CFO | 4663841 |
| FINDALL, LINDA SUE | SROP | 1187842 |
| FRIEDMAN, TIMOTHY NATHAN | CROP | 1967603 |
| HAEDIKE, CHRISTINE D | CCO, DIRECTOR, FFP SECURITIES, INC. | 2489703 |
| HATTON, ROBERT ALLAN | CHIEF OPERATING OFFICER | 1985166 |
| JUNKINS, CRAIG ALLEN | CEO/PRESIDENT/CHAIRMAN OF THE BOARD | 830565 |
| RODERMUND, ROBIN HENRY | DIRECTOR, FFP SECURITIES, INC. | 2097379 |
| YANNAKAKIS, ANNE KANELA | CHIEF LEGAL OFFICER | 4197441 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 10 |
| Bond | 1 |
Red Flags
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.
