Stephen Garry has been President & Chief Compliance Officer of Stephen J. Garry & Associates since April 2018, is a control person of the firm and directly owns 75% or more of it. Stephen Garry holds a Bachelor's degree in Finance from Hofstra University.
Stephen J. Garry & Associates, LLC is a Garden City, NY firm with $143M under management, 300 clients and 3 advisers in one office, as of its March 2026 filing.
Stephen Garry is with Stephen J. Garry & Associates. He has spent the past 30 years working for Ameriprise Financial and related companies, in roles including District Manager, Director of New Financial Advisor Development, Managing Principal, Vice President, and Platinum Services Financial Advisor. He began his current position as a Registered Investment Advisor in July 2018, affiliating with Charles Schwab and Purshe Kaplan Sterling Investments.
- – present · 5 yearsGarden City, NY · Adviser representative · Firm CRD 295068
Professional designations
Listed by Stephen J. Garry & Associates
- Chartered Financial Consultant (ChFC®)
- CERTIFIED FINANCIAL PLANNER™ (CFP®)
Investment adviser representative registrations
Stephen Garry is registered as an investment adviser representative in New York, since June 2021.
- New YorkSince 3 June 2021
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 52TO | Municipal Securities Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 4 | Registered Options Principal Examination | 7 May 2005 |
| Series 53 | Municipal Securities Principal Examination | 31 March 2003 |
| Series 24 | General Securities Principal Examination | 16 March 1998 |
| Series 65 | Uniform Investment Adviser Law Examination | 3 January 1996 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 July 1990 |
| Series 7 | General Securities Representative Examination | 10 July 1990 |
- Name
- Municipal Securities Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Registered Options Principal Examination
- Name
- Municipal Securities Principal Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Stephen Joseph Garry
- CRD
- 2071478
- Firm
- Stephen J. Garry & Associates · CRD 295068
- Role
- President & Chief Compliance Officer
- Office
- 990 STEWART AVENUE, SUITE 190, Garden City, NY 11530
- Registration
- Investment adviser and broker registrations
- In the industry since
- July 1990
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
- Firm bio
- stephengarrywealthmgmt.com
Where does Stephen Garry work?
Stephen Garry has been President & Chief Compliance Officer of Stephen J. Garry & Associates, LLC since April 2018, and is a control person of the firm.
Is Stephen Garry a financial advisor?
Yes. Stephen Garry has a current investment-adviser registration in New York, through Stephen J. Garry & Associates since June 2021.
How many years of experience does Stephen Garry have?
Stephen Garry has 36 years in the financial industry, since July 1990, across 1 adviser firm.
What exams has Stephen Garry passed?
Stephen Garry has passed 8 licensing exams: the Series 7, Series 63, Series 65, Series 24, Series 53, Series 4, Series 52TO and Series 99TO. The earliest, the Series 7, was passed in July 1990. FINRA credited Stephen Garry with the SIE, which began in October 2018.
Where is Stephen Garry based?
Stephen Garry’s registered office is in Garden City, NY.
Is Stephen Garry registered with FINRA?
Yes. Stephen Garry has a current broker registration, under CRD 2071478.
Source: FINRA BrokerCheck
Is Stephen Garry a CFP?
Stephen J. Garry & Associates lists Stephen Garry with the CFP credential (“CERTIFIED FINANCIAL PLANNER™ (CFP®)”) on its website. CFP Board confirms certification status.
Source: STEPHEN J. GARRY biography, stephengarrywealthmgmt.com
How can I verify Stephen Garry’s record?
Search CRD 2071478 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Stephen Garry’s full registration record.