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Individual Firm
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EDWARD V. GARLICH JR (CRD# 1970774)
Alternate Names: EDWARD GARLICH, EDWARD VAN GARLICH, JR. JR
Individual registration as a broker, investment advisor, or both
Not Licensed
Disclosures including customer complaints, regulatory actions and criminal convictions
0 Disclosure(s)
Employment and registration history
19 year(s) in securities industry
Qualifications: exams passed and state licenses
Passed 3 Exam(s)
Registered with 0 U.S. states and territories
Individual registration as a broker, investment advisor, or both
Not Licensed
This individual is not currently licensed to act as a broker (buying and selling securities on behalf of customers) or as an investment adviser (providing advice about securities to clients). They may still be able to offer other investment-related services if properly licensed to do so. Click here to learn more.

Disclosures including customer complaints, regulatory actions and criminal convictions
Disclosure Events Registration History
Disclosure Event(s)
This broker has no disclosure events.
Employment and registration history
Current Registration(s)
This broker is not currently registered with any firm.

Previous Registration(s)
11/2011 - 01/2015
GUGGENHEIM SECURITIES, LLC (CRD# 40638) - WASHINGTON, DC
11/2010 - 12/2011
MF GLOBAL INC. (CRD# 6731) - WASHINGTON, DC
11/2010 - 11/2010
CONCEPT CAPITAL MARKETS, LLC (CRD# 153397) - WASHINGTON, DC
03/2009 - 11/2010
SANDERS MORRIS HARRIS INC. (CRD# 20580) - WASHINGTON, DC
11/2004 - 03/2009
STANFORD GROUP COMPANY (CRD# 39285) - WASHINGTON, DC
06/2003 - 11/2004
CHARLES SCHWAB & CO., INC. (CRD# 5393) - SAN FRANCISCO, CA
09/2000 - 06/2003
SCHWAB CAPITAL MARKETS L.P. (CRD# 2692) - STAMFORD, CT
11/1996 - 09/2000
CHARLES SCHWAB & CO., INC. (CRD# 5393) - SAN FRANCISCO, CA
08/1995 - 11/1996
LYNCH, JONES & RYAN, INC. (CRD# 3198) - NEW YORK, NY
Qualifications: exams passed and state licenses
Passed 3 Exam(s)
Principal/ Supervisory Exam
General Securities Principal Examination
Series 24
04/10/2000
General Industry/ Product Exam
General Securities Representative Examination
Series 7
08/28/1995
State Securities Law Exam
Uniform Securities Agent State Law Examination
Series 63
08/12/1996

Passing a qualifying exam, together with a current FINRA registration, enables a broker to engage in specific activities. Learn more about FINRA exams and registration requirements.
This broker is not currently registered with any state or SRO.
Additional Information

The content of this summary, and the available detailed report, is governed by FINRA Rule 8312, and is primarily based on information filed on uniform registration forms. Rule 8312, amendments to the rule and notices related to U.S. Securities and Exchange Commission approval orders, can be viewed here.

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