David D. Garrett

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CRD#: 1349418

Professional summary

Being a previously registered professional could mean that this person 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.

David Delane Garrett, who also goes by Dave Garrett, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1986. David had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 22 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Garrett

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.

PRESIDENT (1985-PRESENT) D J AND M, INC. D/B/A MID-MICHIGAN INSURANCE GROUP (PROPERTY & CASUALTY, LIFE, HEALTH, ANNUITIES) 212 W. STATE RD. SUITE B HASTINGS, MI 49058 President (01/2021-Present) David Garrett Tax Planners (Tax Preparation) 212 W. STATE RD. SUITE B HASTINGS, MI 49058

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

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

None

Experience

Past

June 3, 2024 - April 1, 2025

ADVISOR SHARE WEALTH MANAGEMENT, LLC

RIA

CRD#: 307997

Hastings, MI

Past

September 29, 2017 - December 31, 2022

IAMS WEALTH MANAGEMENT, LLC

RIA

CRD#: 286085

Hastings, MI

Past

January 11, 2016 - January 31, 2017

USA FINANCIAL SECURITIES LLC

CRD#: 103857

Hastings, MI

Past

January 5, 2016 - January 31, 2017

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

Hastings, MI

Past

March 7, 2014 - August 20, 2015

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

HASTINGS, MI

Past

October 15, 2008 - January 31, 2014

USA FINANCIAL SECURITIES LLC

RIA

CRD#: 103857

HASTINGS, MI

Past

September 5, 2001 - January 31, 2014

USA FINANCIAL SECURITIES LLC

CRD#: 103857

HASTINGS, MI

Past

December 17, 1998 - September 4, 2001

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

PHILADELPHIA, PA

Past

August 16, 1996 - December 16, 1998

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

March 6, 1996 - August 16, 1996

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

March 17, 1994 - December 21, 1995

WALNUT STREET SECURITIES, INC.

CRD#: 15840

EL SEGUNDO, CA

Past

May 16, 1986 - March 16, 1994

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

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".

ADVISOR SHARE WEALTH MANAGEMENT, LLC

ADVISOR SHARE WEALTH MANAGEMENT | PEACE OF MIND PLANNING LLC | ADVISOR SHARE WEALTH MANAGEMENT, LLC

CRD#: 307997 / SEC#: 801-127122

RIA

Registered Investment Advisory firm - (1/3/2023 Approved)

Michigan

Registered Investment Advisory firm - (1/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - (2/13/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/22/2023 Cancelled)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/28/2007

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/15/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 22

Date: 6/17/1986

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 5/15/1986

Investment Company Products/Variable Contracts Representative Examination

Current Firm

ADVISOR SHARE WEALTH MANAGEMENT, LLC

ADVISOR SHARE WEALTH MANAGEMENT | PEACE OF MIND PLANNING LLC | ADVISOR SHARE WEALTH MANAGEMENT, LLC

CRD#: 307997 / SEC#: 801-127122

RIA

Registered Investment Advisory firm - (1/3/2023 Approved)

Michigan

Registered Investment Advisory firm - (1/19/2023 Terminated)

Nevada

Registered Investment Advisory firm - (2/13/2023 Terminated)

Oklahoma

Registered Investment Advisory firm - (5/22/2023 Cancelled)

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Contact information

Main Address

13215 Se Mill Plain Blvd Suite C8-321, Vancouver, WA 98684

Mailing Address

Phone number

(866) 232-3251

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (POM) (3/28/2025)

Regulatory assets under management

Total Number of Accounts	1,429
AUM (Assets Under Management)	$ 185,181,144

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

David D. Garrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

IAMS WEALTH MANAGEMENT, LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

HORTER INVESTMENT MANAGEMENT, LLC

USA FINANCIAL SECURITIES LLC

USA FINANCIAL SECURITIES LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

WALNUT STREET SECURITIES, INC.

WALNUT STREET SECURITIES, INC.

NEW ENGLAND SECURITIES

Primary Firm SEC Registration

ADVISOR SHARE WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 3/28/2007

Series 63

Date: 5/15/1986

SIE

Date: 1/31/2017

Series 22

Date: 6/17/1986

Series 6

Date: 5/15/1986

Current Firm

ADVISOR SHARE WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ADVISOR SHARE WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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