Kenneth W. Garvey
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.
Kenneth William Garvey was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1978. Kenneth had worked at 8 firms and has passed the Series 63, SIE, Series 52, Series 7 and Series 53 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 9, 2018 - November 22, 2024
DINOSAUR FINANCIAL GROUP, L.L.C
January 24, 1997 - January 2, 2018
R.W. SMITH & ASSOCIATES, LLC
April 28, 1995 - March 18, 1997
BUTLER MUNI, LLC
March 23, 1994 - August 4, 1994
R.W. SMITH & ASSOCIATES, LLC
May 1, 1989 - November 2, 1989
JONATHAN ALAN & CO., INC.
October 19, 1988 - November 28, 1988
FAHERTY, ALIAGA & COMPANY, INC.
October 13, 1988 - April 10, 1989
HARTFIELD, TITUS & DONNELLY, LLC
May 29, 1987 - May 4, 1988
G.I.M.B. MUNICIPAL SECURITIES BROKER
June 5, 1978 - June 19, 1987
J.J. KENNY DRAKE, 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
Current Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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