Steve Garrett Expert Witness

Licenses and Registrations

  • General Securities Representative (5/23/1973) Series 7 – 250 multiple choice questions – administered in two parts of 125 questions each: 3 hours testing time for each This registration qualifies a candidate for soliciting, purchasing, and/or selling all securities products, including corporate securities, municipal securities, municipal fund securities, options, direct participation programs, investment company products, and variable contracts. I surrendered this registration on October 10, 2023.
  • General Securities Sales Supervisor (6/3/1983) – (Series 9 and 10 replaced Series 8) – 200 multiple choice questions. The testing time is 1 hour and 30 minutes for Series 9, which contains 55 options questions. Four (4) hours are allowed for Series 10, which has 145 questions covering FINRA, the New York Stock Exchange, the Municipal Securities Rule Board, and Securities and Exchange Commission rules. This registration is appropriate for individuals required to register as principals to supervise sales activities in corporate, municipal, and options securities, investment company products, variable contracts, and direct participation programs. In addition to branch office managers, regional and national sales managers may also register in this capacity. I surrendered this registration on October 10, 2023.
  • Branch Office Manager NYSE (Series 8 since 6/3/1983, now a part of Series 9 and 10). I surrendered this registration on October 10, 2023.
  • Registered Options Principal (Series 8 since 6/3/1983 Series 9 and 10). I surrendered this registration on October 10, 2023.
  • Registered Investment Advisor (since 1992) and Uniform Investment Advisor Law exam (Series 65) 130 multiple choice questions; 3 hours testing time. The Series 65 is designed to qualify candidates as investment adviser representatives.
  • Uniform Securities Agent State Law Examination – (Series 63) – (Series 63 since 2/2/1981) 60 multiple choice questions; 1 hour and 15 minutes testing Series 63 is designed to qualify candidates as securities agents. The examination covers the principles of state securities regulation reflected in the Uniform Securities Act. I surrendered this registration on October 10, 2023.
  • California Life Insurance Agent (no longer active)
  • California Real Estate Agent (no longer active)
  • Certified Financial Manager (Merrill Lynch 1983)
  • FINRA Mediator certification
  • American Center for Conflict Resolution Mediator