James W. Garrard
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.
James Wayne Garrard, who also goes by Jim Wayne Garrard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 2001. James had worked at 26 firms and has passed the Series 28 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 10, 2011 - May 23, 2013
COMMONWEALTH ADVISORS, INC.
March 17, 2011 - September 3, 2015
SILICON VALLEY PARTNERS LLC
December 22, 2010 - October 18, 2013
GRANDVIEW CAPITAL MARKETS, LLC
November 18, 2010 - March 25, 2015
GLC SECURITIES, LLC
July 16, 2010 - June 22, 2011
REGULUS FINANCIAL GROUP, LLC
November 19, 2009 - January 21, 2010
GONOW SECURITIES, INC.
August 24, 2009 - August 22, 2014
BOND LANE PARTNERS LLC
October 24, 2007 - May 1, 2009
COLLEGE ROCKET
May 30, 2007 - May 2, 2013
SPOUTING ROCK CAPITAL ADVISORS, LLC
August 14, 2006 - October 13, 2009
RAIT SECURITIES, LLC
November 7, 2005 - December 8, 2006
INTERCAP MERCHANT PARTNERS, LLC
February 9, 2005 - June 3, 2014
PACIFIC CORNERSTONE CAPITAL INCORPORATED
June 1, 2004 - October 18, 2007
KAIZAN CAPITAL CORP.
October 2, 2003 - December 10, 2014
FALLBROOK CAPITAL SECURITIES CORP.
May 20, 2003 - November 16, 2006
CASCADE FINANCIAL MANAGEMENT, INC.
April 7, 2003 - September 2, 2003
KLEIN INVESTMENT GROUP, L.P.
March 7, 2003 - May 16, 2005
SG SECURITIES, INC.
February 19, 2003 - February 27, 2003
NILE CAPITAL, LLC
December 4, 2002 - July 29, 2003
SH INVESTMENT & SECURITIES
October 8, 2002 - June 24, 2003
VOYAGEUR CAPITAL LLC
May 22, 2002 - September 1, 2006
CAROLINA FINANCIAL SECURITIES, LLC
March 6, 2002 - May 24, 2002
J.W. KORTH & COMPANY
January 24, 2002 - September 10, 2015
SELALU PARTNERS, LLC
January 10, 2002 - August 15, 2002
GALWAY CAPITAL, L.L.C.
December 7, 2001 - March 7, 2002
CAROLINA FINANCIAL SECURITIES, LLC
December 6, 2001 - November 15, 2005
IWP INVESTMENTS, LLC
October 2, 2001 - July 2, 2003
ALLIANT EQUITY INVESTMENTS, 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
Exams
Series 28
Date: 9/18/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationCurrent Firm
COMMONWEALTH ADVISORS, INC.
CRD#: 154783 / SEC#: , 8-68673
Contact information
FINRA licenses (4 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CA HOLDING GROUP, LLC | MEMBER | |
| BYBEL, NICHOLAS JR. | CHAIRMAN, CEO, CHIEF COMPLIANCE OFFICER, AML OFFICER | |
| WEEKS, CURTIS ALLAN | FINOP, PFO, POO | 5278425 |
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.
