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JG

John P. Garven

Some features on this profile are disabled
CRD#: 848941
JG

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.

John Philip Garven was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1978. John had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 1 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
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

January 4, 2010 - June 23, 2016

FSIC

RIA
CRD#: 37813
EDMONDS, WA
Past

December 14, 2009 - June 23, 2016

FSIC

BD
CRD#: 37813
EDMONDS, WA
Past

April 28, 1999 - November 24, 2009

VOYA FINANCIAL ADVISORS, INC.

RIA
CRD#: 2882
HUNTLEY, IL
Past

September 5, 1997 - November 24, 2009

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
HUNTLEY, IL
Past

July 30, 1993 - August 29, 1997

WOODBURY FINANCIAL SERVICES, INC.

BD
CRD#: 421
OAKDALE, MN
Past

September 13, 1986 - August 10, 1993

MONY SECURITIES CORPORATION

BD
CRD#: 4386
NEW YORK, NY
Past

April 18, 1983 - August 26, 1986

MUTUAL SERVICE CORPORATION

BD
CRD#: 4806
Past

March 9, 1982 - April 5, 1983

G. W. COURTNEY, INC.

BD
CRD#: 7769
Past

December 21, 1981 - January 6, 1982

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
Past

December 17, 1980 - March 6, 1982

THE GREAT-WEST LIFE ASSURANCE COMPANY

BD
CRD#: 5927
Past

February 24, 1978 - January 31, 1980

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

BD
CRD#: 4039

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
IAR
Series 65
Date: 4/8/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/15/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 6/23/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/20/1982
General Securities Representative Examination
General Industry/Product Exam
RR
Series 1
Date: 2/11/1978
Registered Representative Examination

Current Firm

FS
FSIC
AFG FINANCIAL | STREETER MOORE AND STIPE | STONEBRIDGE CAPITAL MANAGEMENT | SECURITIES, INC | SCS SYSTEMS | ROBERT W. SCHWARZ | PROFESSIONAL BENEFIT SERVICES, INC. | PLANNING RESOURCES CORPORATION - A FINANCIAL SERVICES COMPANY | O'CONNELL & ATAROD | LEMME INVESTMENT GROUP | KIRKLAND FINANCIAL ADVISORS | HARBOR FINANCIAL ADVISORS | GREG MEINHARDT | GEORGE W. HOOK III FINANCIAL | FSIC - MATRIX WEALTH MANAGEMENT | FSIC | FINANCIAL SERVICES INTERNATIONAL CORP. | EJS WEALTH MANAGEMENT | EDWIN LANE | CHRYSLER ASSET MANAGEMENT, LLC | CANDY J LEE FINANCIAL PLANNING & MONEY MGMT | BRAD WEBER | BENICO LTD | ASSURED CONCEPT GROUP

CRD#: 37813 / SEC#: 801-64354, 8-48032

BD
Terminated by SEC on 12/08/2020
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Contact information

Main Address
5000 T-rex Ave Suite 300, Boca Raton, FL 33431
Mailing Address
Phone number
Established
Washington since 12/15/1994
Firm type
Corporation
Fiscal year end
June
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

FSIC ANNUAL 2019 ADV UPDATE (9/20/2019)

Direct owners and executive officers

NamePositionCRD#
UNITED ATLANTIC CAPITALOWNER
ANDRESEN, HENRIK KURTCCO - BD2756324
ANDRESEN, HENRIK KURTCCO - RIA2756324
PENSKE, MARK HULBERTCEO/PRESIDENT4450959
ROMERO, MONIQUE VICTORIAFINOP6712654

Disclosures

Regulatory Event2

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

FSIC

CRD#: 37813

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