JOSEPH Leo MCGARVEY

JOSEPH Leo MCGARVEY is currently employed as a Broker and/or Investment Adviser at VANGUARD MARKETING CORPORATION located at 100 VANGUARD BLVD, MALVERN, PA, 19355.

JOSEPH Leo MCGARVEY has worked at VANGUARD MARKETING CORPORATION since October 24, 2017

Disclosure History

JOSEPH Leo MCGARVEY has 2 Disclosure Event(s).

Date: June 14, 2016
Category: Employment Separation After Allegations
Firm Name: Wells Fargo Advisors, LLC.
Termination Type: Discharged
Allegations: Wells Fargo Personal Banker discharged by Wells Fargo Bank, NA for submitting applications for college credit cards for bank customers who were not college students. Unrelated to the brokerage business of Wells Fargo Advisors, LLC.

Date: October 08, 2004
Category: Criminal

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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