Nick T. Garris

TRIAGEN WEALTH MANAGEMENT LLC

Calabasas, CA 91302

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CRD#: 1024726

Professional summary

Nick T Garris JR., CFP®, who also goes by Nick Terry Garris Jr, Nick T Garris Jr, Nick T Garris Jr., is a registered financial advisor currently at TRIAGEN WEALTH MANAGEMENT LLC located in Calabasas, California.

Nick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Nick has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 5, Series 3, Series 7 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nick Terry Garris Jr | Nick T Garris Jr | Nick T Garris Jr.

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nick T Garris JR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CFP^®

Certified Financial Planner

Experience

Current

May 15, 2020 - Present

TRIAGEN WEALTH MANAGEMENT LLC

Office #1: 23801 Calabasas Road Suite 1010, Calabasas, CA 91302

RIA

CRD#: 308457

Calabasas, CA

Past

December 12, 2008 - May 27, 2020

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

WOODLAND HILLS, CA

Past

December 12, 2008 - May 27, 2020

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Los Angeles, CA

Past

April 2, 2007 - December 17, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

SANTA MONICA, CA

Past

April 2, 2007 - December 17, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

SANTA MONICA, CA

Past

July 8, 1997 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

SANTA MONICA, CA

Past

December 24, 1981 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

SANTA MONICA, CA

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

TRIAGEN WEALTH MANAGEMENT LLC

CRD#: 308457 / SEC#: 801-118681

RIA

Registered Investment Advisory firm - (5/8/2020 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/15/2020)

IAR

Texas
(8/19/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/2/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/30/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 4/6/1992

Interest Rate Options Examination

General Industry/Product Exam

Series 3

Date: 2/7/1986

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/19/1981

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 7/19/1989

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

TRIAGEN WEALTH MANAGEMENT LLC

CRD#: 308457 / SEC#: 801-118681

RIA

Registered Investment Advisory firm - (5/8/2020 Approved)

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Contact information

Main Address

23801 Calabasas Road Suite 1010, Calabasas, CA 91302

Mailing Address

Phone number

(818) 732-8553

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRIAGEN WEALTH MANAGEMENT LLC - DISCLOSURE BROCHURE (2/25/2025)

Regulatory assets under management

Total Number of Accounts	1,422
AUM (Assets Under Management)	$ 473,557,825

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Nick T. Garris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nick T Garris JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TRIAGEN WEALTH MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/2/1995

Series 63

Date: 12/30/1981

SIE

Date: 10/1/2018

Series 5

Date: 4/6/1992

Series 3

Date: 2/7/1986

Series 7

Date: 12/19/1981

Series 8

Date: 7/19/1989

Current Firm

TRIAGEN WEALTH MANAGEMENT LLC

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TRIAGEN WEALTH MANAGEMENT LLC

TRUST BUT VERIFY

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