David L. Garman
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 Lee Garman, who also goes by Dave Garman, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1986. David had worked at 26 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 5, 2024 - December 19, 2024
GRADIENT ADVISORS, LLC
September 27, 2023 - December 6, 2023
EMPIRIKAL PARTNERS LLC
May 19, 2021 - September 8, 2023
MIDWEST WEALTH PLANNING INSTITUTE LLC
May 26, 2020 - December 31, 2020
MIDWEST WEALTH PLANNING INSTITUTE LLC
October 1, 2018 - November 4, 2019
NFSG CORPORATION
September 28, 2018 - November 4, 2019
NEWBRIDGE SECURITIES CORPORATION
October 4, 2017 - October 1, 2018
GARMAN WEALTH ADVISORY, LLC
June 9, 2017 - August 8, 2017
SPIRE WEALTH MANAGEMENT, LLC
June 1, 2017 - August 8, 2017
SPIRE SECURITIES, LLC
November 10, 2016 - December 23, 2016
DINOSAUR FINANCIAL GROUP, L.L.C
April 22, 2016 - December 6, 2016
SECURE INVESTMENT MANAGEMENT, LLC
January 14, 2015 - February 2, 2016
TRIUMPH WEALTH ADVISORS, INC.
October 3, 2013 - February 2, 2016
TAYLOR CAPITAL MANAGEMENT INC.
March 23, 2012 - October 1, 2013
MADISON AVENUE SECURITIES, LLC
January 4, 2012 - January 12, 2012
KOVACK SECURITIES INC.
September 16, 2010 - December 31, 2011
FOOTHILL SECURITIES, INC.
February 2, 2010 - September 29, 2010
CAMBRIDGE INVESTMENT RESEARCH, INC.
June 13, 2005 - February 8, 2010
FIRST ALLIED SECURITIES, INC.
April 8, 2004 - June 13, 2005
ROUND HILL SECURITIES, INC.
March 15, 2004 - March 26, 2004
CITY SECURITIES CORPORATION
October 2, 2002 - April 10, 2003
COREBRIDGE CAPITAL SERVICES, INC.
March 23, 2001 - June 4, 2002
EQUITABLE DISTRIBUTORS, LLC
July 14, 1999 - March 20, 2001
PRUDENTIAL EQUITY GROUP, LLC
May 9, 1994 - June 23, 1999
CITIGROUP GLOBAL MARKETS INC.
June 1, 1992 - May 13, 1994
WALL STREET ACCESS
January 9, 1991 - June 1, 1992
UNITED PACIFIC FINANCIAL SERVICES, INC.
August 25, 1989 - January 18, 1991
PRUDENTIAL EQUITY GROUP, LLC
March 20, 1986 - August 25, 1989
THOMSON MCKINNON SECURITIES INC.
Primary Firm SEC Registration
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GRADIENT ADVISORS, LLC
CRD#: 152665 / SEC#: 801-71000
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 3,222 |
| AUM (Assets Under Management) | $ 218,611,410 |
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.
