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Aubrey Sutton Garrison

CRD# 1060558·Registered 1982 - 2019
Previously Registered: Being a previously registered professional could mean that Aubrey is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Aubrey Sutton Garrison was a registered financial advisor. Aubrey was a previously registered financial professional and started their career in finance 1982 - 2019. Aubrey had worked at 7 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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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Years of Experience

39 years in the financial services industry

Current & Past Employments

CANNON SECURITIES, INC.·CRD# 152287
BD
Athens, GA
July 7, 2010 - May 22, 2019
OSAIC FA, INC.·CRD# 3978
BD
Athens, GA
October 1, 1996 - January 5, 2010
TRANSAMERICA INVESTORS SECURITIES, LLC·CRD# 32205
BD
Athens, GA
January 10, 1994 - February 3, 2011
UNUM SALES CORPORATION·CRD# 5406
BD
Portland, ME
September 28, 1992 - October 1, 1996
MONY SECURITIES CORPORATION·CRD# 4386
BD
New York, NY
July 9, 1992 - January 10, 1994
PRUCO SECURITIES, LLC.·CRD# 5685
BD
May 17, 1984 - August 4, 1987
THE VARIABLE ANNUITY MARKETING COMPANY·CRD# 5081
BD
September 9, 1982 - April 18, 1984

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Current Firm

CS
CANNON SECURITIES, INC.

CANNON SECURITIES, INC.

CRD#: 152287 / SEC#: 8-68437
BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Contact Information

Main Address

649 South Milledge Ave. Suite 6, Athens, GA 30605

Mailing Address

649 South Milledge Ave Suite 6, Athens, GA 30605

Phone Number

(888) 353-9972

Established

Georgia since 08/10/2009

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

FINRA licenses (3 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DIXON, KELLY LCCO/AMLCO/CEO5854982
ALVAREZ, ENRIQUECFO/ FINOP4622342

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Sep 2010About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Jul 1992About the Series 6 exam

Series 26 — Investment Company Products/Variable Contracts Principal Examination

Passed Oct 2010About the Series 26 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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