DG
Denise L. Garten
KESTRA ADVISORY SERVICES
KALAMAZOO, MI 49009
Some features on this profile are disabled
CRD#: 1715462
DG
Professional summary
Denise Lee Garten, who also goes by Denise Lee Freer, Denise L Garten, is a registered financial advisor currently at KESTRA ADVISORY SERVICES, LLC located in Kalamazoo, Michigan and KESTRA INVESTMENT SERVICES, LLC located in Kalamazoo, Michigan.
Denise is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Denise has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9, Series 4 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Denise Lee Freer | Denise L Garten
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.
Business Name: The Wiser Financial Group Investment Related: Yes Address: 6100 Stadium Drive Kalamazoo MI 49009 Nature of Business: Registered Rep Activities through Kestra Investment Services, LLC using a DBA name; Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Certified Wealth Strat. CWS Advisor Start Date: 4/18/2016 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 91% - 100% (127 - 140 hours) Duties: Taking care of clients needs and investments Business Name: Denise Garten Trust Investment Related: No Address: 1722Tanager Lane Kalamazoo MI 49009 Nature of Business: Real Estate Position, Title or Relationship: Owner Start Date: 4/1/2012 Hours per month: 0% - 10% (0 - 16 hours) Hours per month during trading hours: 0% - 10% (0 - 14 hours) Duties: Collect rent Business Name: Kestra Advisory Services, LLC Investment Related: Yes Address: 5707 Southwest Parkway Building 2, Suite 400 Austin TX 78735 Nature of Business: Investment Advisory services through Kestra Advisory Services, LLC Position, Title or Relationship: Investment Advisor Representative Start Date: 4/4/2016 Hours per month: Up to 100% (0 to 160 hours) Hours per month during trading hours: Up to 100% (0 to 160 hours) Duties: Investment advisory services SOUTHWEST MICHIGAN AMPUTEE RESOURCE GROUP POSITION: President NATURE: Amputee Support Group INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2021 ADDRESS: 1722 Tanager Lane, Kalamazoo MI 49009, United States DESCRIPTION: Preparing for the meetings, keeping up the social media and the resources available to amputees in our area. SOUTHWEST MICHIGAN AMPUTEE RESOURCE GROUP POSITION: President NATURE: Amputee Support Group INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 12/27/2021 ADDRESS: 1722 Tanager Lane, Kalamazoo MI 49009, United States DESCRIPTION: Preparing for the meetings, keeping up the social media and the resources available to amputees in our area.
CRS (Client Relationship Summary) - RIA
Click below to view Denise Lee Garten's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
April 20, 2016 - Present
KESTRA ADVISORY SERVICES, LLC
Office #1: 6100 Stadium Dr., Kalamazoo, MI 49009RIA
CRD#: 283330
KALAMAZOO, MI
Current
April 18, 2016 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 6100 Stadium Dr., Kalamazoo, MI 49009BD
CRD#: 42046
Kalamazoo, MI
Past
July 11, 2007 - May 7, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
KALAMAZOO, MI
Past
July 11, 2007 - May 7, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
KALAMAZOO, MI
Past
September 14, 2006 - June 6, 2007
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
PORTAGE, MI
Past
September 1, 2006 - June 6, 2007
CETERA INVESTMENT SERVICES LLC
RIA
CRD#: 15340
PORTAGE, MI
Past
September 7, 2005 - September 5, 2006
OSAIC FA, INC.
RIA
CRD#: 3978
SAN DIEGO, CA
Past
September 7, 2005 - March 31, 2006
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
September 7, 2005 - September 5, 2006
OSAIC FA, INC.
BD
CRD#: 3978
SAN DIEGO, CA
Past
February 1, 2001 - August 23, 2005
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
SAN DIEGO, CA
Past
January 12, 2001 - August 23, 2005
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
February 9, 1994 - January 25, 2001
QUICK & REILLY, INC.
BD
CRD#: 11217
NEW YORK, NY
Past
February 6, 1992 - February 3, 1994
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
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".
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(4/18/2016)
RR
Arizona(4/18/2016)
RR
California(4/18/2016)
RR
Connecticut(1/25/2018)
RR
Florida(4/18/2016)
RR
Illinois(4/18/2016)
RR
Indiana(5/10/2016)
RR
Michigan(4/18/2016)
IAR
Michigan(4/20/2016)
RR
Mississippi(12/9/2016)
RR
New Mexico(4/4/2018)
RR
North Carolina(4/18/2016)
RR
North Dakota(4/17/2023)
RR
Ohio(11/2/2018)
RR
Pennsylvania(9/3/2024)
RR
South Carolina(11/5/2018)
RR
Utah(1/22/2021)
RR
Virginia(10/17/2017)
RR
Washington(11/5/2019)
RR
Wisconsin(7/19/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/29/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
KA
KESTRA ADVISORY SERVICES, LLC
KESTRA ADVISORY SERVICES, LLC | NFP ADVISOR SERVICES LLC
CRD#: 283330 / SEC#: 801-56126
RIA
Registered Investment Advisory firm - (12/31/1998 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
1,299
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 155,482 |
| AUM (Assets Under Management) | $ 60,174,309,829 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
KESTRA ADVISORY SERVICES, LLC
CRD#: 283330Kalamazoo, MI 49009TRUST BUT VERIFY
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