Joseph M. Garry

STEPHEN J. GARRY & ASSOCIATES

Garden City, NY 11530

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CRD#: 6810260

Professional summary

Joseph Martin Garry is a registered financial advisor currently at STEPHEN J. GARRY & ASSOCIATES, LLC located in Garden City, New York and PURSHE KAPLAN STERLING INVESTMENTS located in Garden City, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2023. Joseph has worked at 2 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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.

1) Stephen J Garry and Associates LLC - Investment Related - 990 Steward Ave Suite 190 Garden City NY 11530 - Investment Advisor Services - Associate Advisor - 6/2020 - 40 hours per week - 40 hours per week during trading hours - Assist with compliance, client documentation, submitting forms, phone calls, day to day office operation. 2) Purshe Kaplan Sterling Investments - Investment Related - 80 State Street, Albany, NY 12207 - Broker-Dealer - Insurance Agent - 06/2020 - 5 hours a month - 5 during trading hours - Check client annuity products, assist in completing 1035 exchanges and other transfers of annuities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Martin Garry's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

March 19, 2024 - Present

STEPHEN J. GARRY & ASSOCIATES, LLC

Office #1: 990 Stewart Avenue Suite 190, Garden City, NY 11530

RIA

CRD#: 295068

Garden City, NY

Current

January 31, 2023 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 990 Stewart Avenue Suite 190, Garden City, NY 11530

CRD#: 35747

Garden City, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

STEPHEN J. GARRY & ASSOCIATES, LLC

CRD#: 295068 / SEC#: 801-113487

RIA

Registered Investment Advisory firm - (6/22/2018 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

New York
(6/13/2023)

IAR

New York
(3/19/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/19/2024

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/11/2023

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/31/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 9/11/2020

Securities Industry Essentials Examination

Principal/Supervisory Exam

Series 24

Date: 9/15/2025

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

STEPHEN J. GARRY & ASSOCIATES, LLC

CRD#: 295068 / SEC#: 801-113487

RIA

Registered Investment Advisory firm - (6/22/2018 Approved)

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Contact information

Main Address

990 Stewart Avenue Suite 190, Garden City, NY 11530

Mailing Address

Phone number

(516) 280-5588

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A, 2B AND PRIVACY POLICY (3/24/2025)

Regulatory assets under management

Total Number of Accounts	423
AUM (Assets Under Management)	$ 123,578,947

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.

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Advisor Monitoring

Firm Stability Insights

Joseph M. Garry

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Martin Garry's CRS (Customer Relationship Summary).

Certified licenses

Experience

PURSHE KAPLAN STERLING INVESTMENTS

Primary Firm SEC Registration

STEPHEN J. GARRY & ASSOCIATES, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/19/2024

Series 63

Date: 6/11/2023

Series 7TO

Date: 1/31/2023

SIE

Date: 9/11/2020

Series 24

Date: 9/15/2025

FINRA

Current Firm

STEPHEN J. GARRY & ASSOCIATES, LLC

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STEPHEN J. GARRY & ASSOCIATES, LLC

TRUST BUT VERIFY

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