David M. Garrison

CAPITAL INVESTMENT MANAGEMENT,

LEE'S SUMMIT, MO 64086

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CRD#: 1803012

Professional summary

David Max Garrison, CFP®, who also goes by Dave Garrison, is a registered financial advisor currently at CAPITAL INVESTMENT MANAGEMENT, INC located in Lee's Summit, Missouri and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Lees Summit, Missouri.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. David has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1)CAPITAL INVESTMENT MANAGEMENT, 608 SW 3RD ST, LEES SUMMIT, MO, 11/1998 AS ADVISORY REP OF A RIA/INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 42/WK - 42/TRADING. 2)CAPITAL TAX CONSULTING, LLC, 608 SW 3RD ST, LEES SUMMIT, MO, 01/2014 AS MEMBER.THEY WILL SHARE OFFICE SPACE WITH CAPITAL INVESTMENT MANAGEMENT. I WILL NOT BE INVOLVED IN THE DAY TO DAY OPERATIONS OF THIS BUSINESS. SPENDS 1 HR/WK, 1 HR/WK DURING TRADING. 3)MRH HOLDINGS LLC, 608 SW 3RD ST, LEES SUMMIT, MO, 2/2014 AS PARTNER IN LLC TO HOLD BUSINESS ASSET. NIR - 1/MO, 0/TRADING. 4-MSG HOLDINGS LLC, 608 SW 3RD ST, LEES SUMMIT, MO, 10/2015 AS OWNING MEMBER IN LLC TO OWN PROPERTY. NIR - 1 HR/WK - 1/TRADING.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Max Garrison's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 1991

Experience

Current

June 8, 1998 - Present

CAPITAL INVESTMENT MANAGEMENT, INC

Office #1: 740 Nw Blue Parkway Suite 301, Lee's Summit, MO 64086

RIA

CRD#: 113917

LEE'S SUMMIT, MO

Current

May 16, 2011 - Present

CAMBRIDGE INVESTMENT RESEARCH, INC.

Office #1: 608 Sw 3rd Street, Lees Summit, MO 64063

CRD#: 39543

Lees Summit, MO

Past

April 4, 2012 - October 9, 2012

ECUSA, LLC

RIA

CRD#: 157711

LEE'S SUMMIT, MO

Past

May 26, 2011 - October 21, 2011

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

RIA

CRD#: 134139

LEES SUMMIT, MO

Past

January 21, 1997 - May 16, 2011

SECURITIES AMERICA, INC.

CRD#: 10205

LEES SUMMIT, MO

Past

April 20, 1993 - December 31, 1996

VSR FINANCIAL SERVICES, INC.

CRD#: 14503

OVERLAND PARK, KS

Past

February 23, 1988 - April 8, 1993

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

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".

CAPITAL INVESTMENT MANAGEMENT, INC

CRD#: 113917 / SEC#: 801-76972

RIA

Registered Investment Advisory firm - (8/13/2012 Approved)

Kansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Missouri

Registered Investment Advisory firm - (8/14/2012 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Arizona
(5/16/2011)

Arkansas
(5/16/2011)

Florida
(5/16/2011)

Hawaii
(5/16/2011)

Iowa
(5/16/2011)

IAR

Kansas
(1/21/1999)

Kansas
(5/16/2011)

IAR

Missouri
(6/8/1998)

Missouri
(5/16/2011)

New Jersey
(8/19/2022)

North Carolina
(1/7/2022)

North Dakota
(8/15/2025)

Oklahoma
(5/16/2011)

Oregon
(2/1/2022)

Pennsylvania
(1/5/2021)

South Carolina
(3/6/2014)

Tennessee
(9/24/2020)

Texas
(5/16/2011)

IAR

Texas
(5/12/2017)

Wyoming
(3/9/2017)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/5/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/10/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/20/1988

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CAPITAL INVESTMENT MANAGEMENT, INC

CRD#: 113917 / SEC#: 801-76972

RIA

Registered Investment Advisory firm - (8/13/2012 Approved)

Kansas

Registered Investment Advisory firm - (8/14/2012 Terminated)

Missouri

Registered Investment Advisory firm - (8/14/2012 Terminated)

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Contact information

Main Address

608 S.w. 3rd St., Lee's Summit, MO 64063

Mailing Address

Phone number

(816) 246-1212

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A (3/25/2025)

Regulatory assets under management

Total Number of Accounts	1,057
AUM (Assets Under Management)	$ 477,059,838

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.

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Advisor Monitoring

Firm Stability Insights

David M. Garrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Max Garrison's CRS (Customer Relationship Summary).

Certified licenses

Experience

CAMBRIDGE INVESTMENT RESEARCH, INC.

ECUSA, LLC

CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.

SECURITIES AMERICA, INC.

VSR FINANCIAL SERVICES, INC.

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

CAPITAL INVESTMENT MANAGEMENT, INC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/5/1998

Series 63

Date: 3/10/1988

SIE

Date: 10/1/2018

Series 7

Date: 2/20/1988

FINRA

Current Firm

CAPITAL INVESTMENT MANAGEMENT, INC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CAPITAL INVESTMENT MANAGEMENT, INC

TRUST BUT VERIFY

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