Gary S. Tarbis
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.
Gary Stuart Tarbis was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1969. Gary had worked at 8 firms and has passed the Series 63, Series 000, Series 1, Series 4 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
October 1, 1987 - December 21, 1987
SFG BROKERAGE COMPANY
May 8, 1984 - August 24, 1987
UBS FINANCIAL SERVICES INC.
September 10, 1982 - May 26, 1984
E. F. HUTTON & COMPANY INC
August 14, 1978 - September 16, 1982
PRESCOTT, BALL & TURBEN, INC.
February 4, 1977 - August 14, 1978
PRESCOTT, BALL & TURBEN
March 13, 1974 - February 4, 1977
PRESCOTT, BALL & TURBEN
July 16, 1970 - April 2, 1974
BACHE & CO INCORPORATED
January 23, 1969 - February 8, 1972
STEIN BROS. & BOYCE, 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 000
Date: 1/16/1969
General Securities Principal ExaminationSeries 1
Date: 1/16/1969
Registered Representative ExaminationSeries 40
Date: 12/6/1975
Registered Principal ExaminationCurrent Firm
SFG BROKERAGE COMPANY
CRD#: 18169 / SEC#: , 8-36188
Contact information
Documents
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.
