Sylvester P. Garban
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.
Sylvester Peter Garban JR, who also goes by Sy Garban Jr, was a registered financial professional .
Sylvester is a previously registered financial professional and started their career in finance in 1979. Sylvester had worked at 8 firms and has passed the Series 63, Series 22TO, Series 6TO, SIE, Series 1 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2010 - September 27, 2023
CHAUNER SECURITIES, INC.
January 24, 2000 - September 18, 2009
WNC CAPITAL CORPORATION
February 9, 1996 - June 22, 2000
CAPITAL GROWTH RESOURCES
July 20, 1994 - February 9, 1996
WNC CAPITAL CORPORATION
October 19, 1990 - July 29, 1994
U.S. SECURITIES CLEARING CORP.
June 13, 1990 - October 19, 1990
SIGNATURE EQUITIES CORPORATION
August 1, 1984 - August 24, 1988
TALON SECURITIES, INC.
October 16, 1980 - July 1, 1983
PETERSON, DIEHL & COMPANY, INC.
April 11, 1979 - June 9, 1980
PLM SECURITIES CORP.
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 22TO
Date: 1/2/2023
Direct Participation Programs Representative ExaminationSeries 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationSeries 1
Date: 12/18/1978
Registered Representative ExaminationCurrent Firm
CHAUNER SECURITIES, INC.
CRD#: 10075 / SEC#: , 8-33980
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
