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JAMES HYDRICK GARNER
JIM H GARNER, JIM GARNER
CRD#: 1497791
IA
Investment Adviser
B
Broker
RAYMOND JAMES & ASSOCIATES, INC.CRD#: 705 12921 CANTRELL ROAD
SUITE 400
LITTLE ROCK, AR 72223
Registration History
199019952000200520102015202020252 FIRMS2006 - 2015 (8 years)2 FIRMS2015 - Present (9 years)BSTEPHENS INC. (CRD# 3496)1993 - 2006 (13 years)BPAINEWEBBER INCORPORATED (CRD# 8174)1990 - 1993 (3 years)BBARNETT BROKERAGE SERVICE, INC. (CRD# 14897)1990 - 1990 (<1 year)BPAINEWEBBER INCORPORATED (CRD# 8174)1988 - 1990 (1 year)BSHEARSON LEHMAN HUTTON INC. (CRD# 7506)1987 - 1988 (1 year)IASTEPHENS INC. (CRD# 3496)1999 - 2006 (7 years)
Disclosure(s)
View By:
2/16/2010
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 5/13/2022

B
New York 4/20/2021

B
Arkansas 4/27/2015

B
Oklahoma 1/9/2020

IA
Arkansas 4/27/2015

B
Pennsylvania 1/3/2018

B
Colorado 8/26/2019

B
Tennessee 6/28/2016

B
Florida 4/27/2015

B
Texas 3/1/2017

B
Massachusetts 7/1/2015

IA
Texas 3/28/2017

B
Mississippi 1/6/2020

B
Virginia 8/14/2019

SRO Registrations

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
12921 CANTRELL ROAD SUITE 400, LITTLE ROCK, AR 72223
Registered with this firm since 4/27/2015

B
RAYMOND JAMES & ASSOCIATES, INC. (CRD#:705)
12921 CANTRELL ROAD SUITE 400, LITTLE ROCK, AR 72223
Registered with this firm since 4/27/2015

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
09/06/2006 - 05/06/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) LITTLE ROCK, AR
B
09/06/2006 - 05/06/2015 UBS FINANCIAL SERVICES INC. (CRD#:8174) LITTLE ROCK, AR
IA
08/05/1999 - 09/07/2006 STEPHENS INC. (CRD#:3496) LITTLE ROCK, AR
B
08/27/1993 - 09/07/2006 STEPHENS INC. (CRD#:3496) LITTLE ROCK, AR
B
05/04/1990 - 08/20/1993 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
02/01/1990 - 05/14/1990 BARNETT BROKERAGE SERVICE, INC. (CRD#:14897) JACKSONVILLE, FL
B
11/17/1988 - 01/01/1990 PAINEWEBBER INCORPORATED (CRD#:8174) WEEHAWKEN, NJ
B
07/02/1987 - 11/29/1988 SHEARSON LEHMAN HUTTON INC. (CRD#:7506)
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B
Broker
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Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.