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MG

Michael W. Garrett

Some features on this profile are disabled
CRD#: 500192
MG

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.

Michael Warde Garrett, who also goes by Michael Ward Garrett, was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1976. Michael had worked at 9 firms and has passed the Series 63, Series 3 and Series 40 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Michael Ward Garrett

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

March 3, 1999 - May 31, 2007

CARTY, HARDING & HEARN, INC.

BD
CRD#: 7001
MEMPHIS, TN
Past

November 18, 1996 - January 6, 1999

SOUTHSTATE SECURITIES CORP.

BD
CRD#: 6950
MEMPHIS (SHELBY), TN
Past

June 9, 1994 - September 30, 1996

NBC CAPITAL MARKETS GROUP, INC.

BD
CRD#: 18229
MEMPHIS, TN
Past

April 22, 1993 - June 7, 1994

THE TRADING DESK, INC.

BD
CRD#: 22908
Past

March 16, 1991 - November 7, 1991

ICBA SECURITIES

BD
CRD#: 24088
MEMPHIS, TN
Past

January 1, 1991 - April 2, 1993

VINING-SPARKS IBG, LLC

BD
CRD#: 27502
MEMPHIS, TN
Past

October 3, 1988 - January 1, 1991

UNION PLANTERS INVESTMENT BANKERS GROUP, INC.

BD
CRD#: 16493
Past

October 22, 1981 - October 3, 1988

UMIC, INC.

BD
CRD#: 5974
Past

April 24, 1980 - September 23, 1981

CARTY, HARDING & HEARN, INC.

BD
CRD#: 7001
Past

August 27, 1976 - March 22, 1980

G. WEEKS & CO., INC.

BD
CRD#: 7035

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/6/1980
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 10/13/1983
National Commodity Futures Examination
Principal/Supervisory Exam
RR
Series 40
Date: 11/21/1976
Registered Principal Examination

Current Firm

CH
CARTY, HARDING & HEARN, INC.
CARTY & COMPANY, INC. | CHH | CARTY, HARDING, & HEARN, INC. | CARTY, HARDING & HEARN, INC. | CARTY, HARDING & HEARN

CRD#: 7001 / SEC#: , 8-19082

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
6263 Poplar Avenue Suite 800, Memphis, TN 38119
Mailing Address
P.o. Box 17527, Memphis, TN 38187-0527
Phone number
(901) 767-8940
Established
Tennessee since 10/07/1970
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
CARTY FINANCIAL CORPORATIONOWNER
CARTY, BILLY RANDOLPHCEO42297
CARTY, WILLIAM LAWRENCEPRESIDENT2356971
HEARN, JOHN ARTHURMANAGING DIRECTOR2078994
RUETTEN, ANGELA LYNNCFO
SCOLA, JENNIFER CARTYCOO, CCO1720872
TUCKER, CLARK BOMARFINOP1977842

Disclosures

Regulatory Event20

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.

Company Information

CARTY, HARDING & HEARN, INC.

CRD#: 7001

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