Davis D. Garrison

Some features on this profile are disabled

CRD#: 1473417

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.

Davis Dunaway Garrison III, who also goes by Dave Garrison, was a registered financial professional .

Davis is a previously registered financial professional and started their career in finance in 1986. Davis had worked at 10 firms and has passed the Series 65, Series 63, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Garrison

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.

Preservation Financial Group, LLC 208 Sunset Drive, Suite 113 Johnson City, TN 37604 Managing Partner Life/Health Insurance Services Sales

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

December 3, 2020 - September 4, 2024

TUCKER ASSET MANAGEMENT LLC

RIA

CRD#: 174844

Johnson City, TN

Past

April 15, 2016 - December 2, 2020

BROOKSTONE CAPITAL MANAGEMENT LLC

RIA

CRD#: 141413

Johnson City, TN

Past

December 9, 2009 - April 18, 2016

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

JOHNSON CITY, TN

Past

March 25, 2009 - August 4, 2009

MADISON AVENUE SECURITIES, LLC

RIA

CRD#: 23224

JOHNSON CITY, TN

Past

November 3, 2006 - March 25, 2009

MADISON AVENUE ADVISORS, INC.

RIA

CRD#: 137461

JOHNSON CITY, TN

Past

November 3, 2006 - August 4, 2009

MADISON AVENUE SECURITIES, LLC

CRD#: 23224

JOHNSON CITY, TN

Past

March 15, 2004 - November 7, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

RIA

CRD#: 13626

JOHNSON CITY, TN

Past

July 30, 2001 - November 7, 2006

AMERICAN GENERAL SECURITIES INCORPORATED

CRD#: 13626

JOHNSON CITY, TN

Past

May 10, 2000 - July 30, 2001

CAPITAL BROKERAGE CORPORATION

CRD#: 10465

GLEN ALLEN, VA

Past

February 19, 1998 - May 8, 2000

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

May 11, 1992 - April 2, 1993

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

Past

June 26, 1986 - October 21, 1996

THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY

CRD#: 647

WORCESTER, MA

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".

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 Terminated)

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: 9/25/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/17/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 4/8/1992

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/25/1986

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 1/25/2002

Investment Company Products/Variable Contracts Principal Examination

Current Firm

TUCKER ASSET MANAGEMENT LLC

TUCKER ASSET MANAGEMENT LLC | TUCKER WEALTH | TUCKER ASSET MANAGEMENT, LLC

CRD#: 174844 / SEC#: 801-107110

RIA

Registered Investment Advisory firm - (1/13/2016 Approved)

Colorado

Registered Investment Advisory firm - (1/28/2016 Terminated)

Georgia

Registered Investment Advisory firm - (2/12/2016 Terminated)

Iowa

Registered Investment Advisory firm - (1/26/2016 Terminated)

Louisiana

Registered Investment Advisory firm - (1/26/2016 Terminated)

Massachusetts

Registered Investment Advisory firm - (1/22/2016 Terminated)

Montana

Registered Investment Advisory firm - (1/22/2016 Terminated)

Nebraska

Registered Investment Advisory firm - (12/31/2015 Terminated)

New Jersey

Registered Investment Advisory firm - (1/22/2016 Terminated)

North Carolina

Registered Investment Advisory firm - (1/22/2016 Terminated)

Ohio

Registered Investment Advisory firm - (1/22/2016 Terminated)

Texas

Registered Investment Advisory firm - (1/22/2016 Terminated)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1520 West Canal Court Suite 100, Littleton, CO 80120

Mailing Address

Phone number

(303) 734-1234

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (39 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (3/26/2025)

Regulatory assets under management

Total Number of Accounts	4,243
AUM (Assets Under Management)	$ 640,805,363

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Davis D. Garrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

BROOKSTONE CAPITAL MANAGEMENT LLC

HORTER INVESTMENT MANAGEMENT, LLC

MADISON AVENUE SECURITIES, LLC

MADISON AVENUE ADVISORS, INC.

MADISON AVENUE SECURITIES, LLC

AMERICAN GENERAL SECURITIES INCORPORATED

AMERICAN GENERAL SECURITIES INCORPORATED

CAPITAL BROKERAGE CORPORATION

MML INVESTORS SERVICES, LLC

CINCINNATI ANALYSTS, INC.

THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY

Primary Firm SEC Registration

TUCKER ASSET MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 9/25/2001

Series 63

Date: 3/17/1998

Series 7

Date: 4/8/1992

Series 6

Date: 6/25/1986

Series 26

Date: 1/25/2002

Current Firm

TUCKER ASSET MANAGEMENT LLC

Contact information

SEC notice filing (39 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TUCKER ASSET MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors