Garth A. Mccann
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.
Garth Albert Mccann was a registered financial professional .
Garth is a previously registered financial professional and started their career in finance in 1977. Garth had worked at 11 firms and has passed the Series 63, Series 7, Series 1, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 10, 1988 - January 17, 1990
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
March 11, 1986 - October 23, 1987
DENVER SECURITIES CORPORATION
February 19, 1986 - July 1, 1988
PACIFIC SOUTHERN SECURITIES, INC.
May 16, 1985 - January 6, 1986
SECO SECURITIES, INC.
February 9, 1983 - April 18, 1985
AMERICAN FRONTEER FINANCIAL CORPORATION
August 29, 1981 - January 10, 1983
FIRST FINANCIAL SECURITIES, INC.
February 12, 1981 - July 22, 1981
OTC NET INCORPORATED
July 29, 1980 - March 11, 1981
HANIFEN, IMHOFF INC.
January 2, 1979 - July 30, 1980
BOETTCHER & COMPANY, INC.
June 23, 1978 - September 1, 1978
E. F. HUTTON & COMPANY INC
October 20, 1977 - May 14, 1978
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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 1
Date: 10/18/1977
Registered Representative ExaminationCurrent Firm
ROCKY MOUNTAIN SECURITIES & INVESTMENTS, INC.
CRD#: 8350 / SEC#: , 8-25105
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| HORNING, STEPHEN JAMES | DIRECTOR/PRESIDENT | 250316 |
| VANTREUREN, RALPH DAVID | DIRECTOR/VICE PRESIDENT | 453387 |
| LLOYD, MARY CAROLYNE | SHAREHOLDER(RESIGNED AS DIRECTOR 03/02) | |
| ZALES, MICHAEL JACOB | DIRECTOR/VICE PRESIDENT | 475699 |
| BLANKENHEIM, GEORGE THOMAS | SECRETARY/TREASURER | 23218 |
| CLARKE, JUDITH VAN BROCKLIN | TRADER | 1014789 |
| COX, NEIL AMEL | DIRECTOR/VICE PRESIDENT | 806126 |
| DASCALOS, JAMES | DIRECTOR | |
| MAXEY, CRAIG ALLEN | SROP-CROP/VICE PRESIDENT | 820099 |
| SMITH, ROBERT LEE | DIRECTOR |
Disclosures
| Regulatory Event | 6 |
| Civil Event | 1 |
| Arbitration | 3 |
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.
