Monte W. Garpestad
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.
Monte Wayne Garpestad, CFP® was a registered financial professional .
Monte is a previously registered financial professional and started their career in finance in 1987. Monte had worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 9, Series 10 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2005
Experience
November 4, 2021 - March 24, 2023
CHARLES SCHWAB & CO., INC.
October 11, 2021 - March 24, 2023
CHARLES SCHWAB & CO., INC.
March 21, 2018 - March 24, 2023
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
March 7, 2018 - October 14, 2022
TD AMERITRADE, INC.
February 26, 2018 - March 24, 2023
TD AMERITRADE, INC.
March 14, 2016 - March 20, 2018
SCOTTRADE INVESTMENT MANAGEMENT
January 21, 2015 - February 26, 2018
SCOTTRADE, INC.
March 20, 2014 - November 11, 2014
FISHER INVESTMENTS
May 6, 2013 - March 8, 2014
MERCER GLOBAL ADVISORS INC.
November 27, 2012 - April 17, 2013
SECURITIES AMERICA ADVISORS, INC.
October 1, 2012 - April 17, 2013
SECURITIES AMERICA, INC.
April 21, 2003 - July 16, 2012
CHARLES SCHWAB & CO., INC.
May 8, 1991 - July 16, 2012
CHARLES SCHWAB & CO., INC.
November 19, 1989 - July 9, 1990
OSAIC WEALTH, INC.
September 29, 1988 - November 24, 1990
INVESTMENT CENTERS OF AMERICA, INC.
June 24, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
December 22, 1987 - June 24, 1988
J. W. GANT & ASSOCIATES, INC.
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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
Series 8
Date: 10/23/1991
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
