Thomas P. Garrity
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.
Thomas Patrick Garrity was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1979. Thomas had worked at 13 firms and has passed the Series 63, Series 15, Series 5, Series 7, 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
December 15, 2011 - January 2, 2013
STEELPOINT SECURITIES, LLC
February 19, 2002 - December 19, 2011
WBB SECURITIES, LLC
June 28, 1999 - February 19, 2002
PACIFIC AMERICAN SECURITIES, LLC
January 4, 1999 - June 28, 1999
ZA ASSOCIATES, INC.
January 3, 1991 - December 11, 1998
VANGUARD CAPITAL
November 5, 1987 - October 29, 1990
PIM FINANCIAL SERVICES, INC.
October 15, 1987 - November 5, 1987
FIRST UNITED SECURITIES GROUP OF CALIFORNIA
July 21, 1983 - September 8, 1987
FIRST AFFILIATED SECURITIES, INC.
December 7, 1982 - August 15, 1983
GREEN HILL FINANCIAL SERVICE CORPORATION
October 8, 1982 - November 16, 1982
KIDDER, PEABODY & CO. INCORPORATED
October 9, 1981 - September 24, 1982
UBS FINANCIAL SERVICES INC.
July 31, 1980 - October 21, 1981
CITIGROUP GLOBAL MARKETS INC.
January 31, 1980 - January 5, 1984
UBS FINANCIAL SERVICES INC.
August 1, 1979 - August 10, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
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 15
Date: 10/1/1984
Foreign Currency Options ExaminationSeries 5
Date: 11/9/1981
Interest Rate Options ExaminationCurrent Firm
STEELPOINT SECURITIES, LLC
CRD#: 155847 / SEC#: , 8-68744
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
| Arbitration | 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.
