Richard D. Garton
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.
Richard Dean Garton, who also goes by Rick Garton, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1987. Richard had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 10, Series 9, Series 4 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 18, 2015 - October 17, 2019
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
June 15, 2015 - October 17, 2019
CAMBRIDGE INVESTMENT RESEARCH, INC.
September 4, 2007 - June 17, 2015
INVESTMENT CENTERS OF AMERICA, INC.
July 25, 2007 - June 17, 2015
INVESTMENT CENTERS OF AMERICA, INC.
February 5, 2003 - December 31, 2003
WELLS FARGO BROKERAGE SERVICES, L.L.C.
June 5, 2002 - July 24, 2007
WELLS FARGO INVESTMENTS, LLC
June 20, 2000 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
November 9, 1999 - June 7, 2002
NATCITY INVESTMENTS, INC.
February 1, 1999 - October 25, 1999
BANC ONE SECURITIES CORPORATION
March 23, 1998 - February 1, 1999
WINGSPAN INVESTMENT SERVICES
April 2, 1997 - January 8, 1998
CRISPIN KOEHLER SECURITIES
January 4, 1995 - March 25, 1997
A. B. CULBERTSON AND COMPANY
October 7, 1993 - December 2, 1994
ALLSTATE FINANCIAL SERVICES, LLC
April 1, 1993 - October 5, 1993
CETERA WEALTH SERVICES, LLC
June 2, 1987 - December 1, 1992
MARKETING ONE SECURITIES, INC.
Primary Firm SEC Registration
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
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
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139 / SEC#: 801-63930
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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