DG
Duane T. Garth
CETERA INVESTMENT ADVISERS LLC
NOVI, MI
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CRD#: 1998639
DG
Professional summary
Duane T Garth is a registered financial advisor currently at CETERA INVESTMENT ADVISERS LLC located in Novi, Michigan and CETERA WEALTH SERVICES, LLC located in Southfield, Michigan.
Duane is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Duane has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) GARTH FINANCIAL GROUP; SINCE 06/22/2002; SAME AS BRANCH ADDRESS; PRESIDENT; Use this corporation for tax purposes only. 160 HOURS SPENT ON ACTIVITY PER MONTH, 6.5 HOURS SPENT ON ACTIVITY DURING TRADING HOURS (2) MONEY IN MARRIAGE; NOT INVESTMENT RELATED; 31092 LAGOON DRIVE, NOVI, MI 48377; MINISTRY; CO-FOUNDER; STARTED 10/1/2017; APX 5 HOURS/MONTH, NONE DURING TRADING; A ministry that focuses on helping couples work together in unity regarding their finances (3) FINANCIAL LITERACY INSTITUTE; NOT INVESTMENT RELATED; SAME AS REGISTERED ADDRESS; FINANCIAL EDUCATION; PARTNER; STARTED 6/1/2006; APX 2 HOURS/MONTH, 2 DURING TRADING; Oversee activities related to providing personal finance education to youth and adults (4) CITY OF SOUTHFIELD, MI; NOT INVESTMENT RELATED; 26000 EVERGREEN RD SOUTHFIELD, MI 48075; BOARD OF DIRECTORS (NON-PROFIT);TRUSTEE-FIRE AND POLICE; 05/21/2013; APPX 4 HOURS/MONTH; APPX 4 HOURS/MONTH DURING TRADING; Charged with the duty to oversee the prudent management of the assets set aside for the retired firemen and police officers of the City of Southfield. MI. (5) ASHLAND THEOLOGICAL SEMINARY FOUNDATION; NOT INVESTMENT RELATED; 910 CENTER STREET ASHLAND, OH 44805; BOARD OF DIRECTORS: NON-PROFIT; BOARD MEMBER; 07/01/2018; APPX 1 HOUR/MONTH; APPX 1 HOUR/MONTH DURING TRADING; Oversee the philanthropic activities of the university and the prudent management of financial resources given for the benefit of Ashland university. (6) NAME OF OTHER BUSINESS: MATRIX HUMAN SERVICES ; INVESTMENT RELATED: NO; ADDRESS: 1400 WOODBRIDGE DETROIT, MI 48207 ; NATURE OF BUSINESS: NON PROFIT ; START DATE: 11/2021; POSITION/TITLE/RELATIONSHIP: BOARD MEMBER; APX NUMBER OF HOURS PER WEEK: VARIES ; APX NUMBER OF HOURS DURING TRADING HOURS: VARIES ; BRIEF DESCRIPTION OF DUTIES: PROVIDES SUPPORT SERVICES FOR CHILDREN, TEENS, ADULTS AND SENIORS; (7) NAME OF OTHER BUSINESS: GARTH FINANCIAL GROUP INC.; INVESTMENT RELATED: YES ; ADDRESS: SAME AS REGISTERED LOCATION ; NATURE OF BUSINESS: FINANCIAL SERVICES; START DATE: 06/2002; POSITION/TITLE/RELATIONSHIP: FINANCIAL PROFESSIONAL; APX NUMBER OF HOURS PER WEEK: 40; APX NUMBER OF HOURS DURING TRADING HOURS: 32.5; BRIEF DESCRIPTION OF DUTIES: DBA FOR FINANCIAL SERVICES; (8) NAME OF OTHER BUSINESS: UNIVERSITY OF DETROIT MERCY INVESTMENT RELATED: NO ; ADDRESS: 4001 W. MCNICHOLS RD DETROIT RIVER STATION, MI 48221 ; NATURE OF BUSINESS: EDUCATION; START DATE: 01/2022; POSITION/TITLE/RELATIONSHIP: ADJUNCT PROFESSOR; APX NUMBER OF HOURS PER WEEK: 0; APX NUMBER OF HOURS DURING TRADING HOURS: 0; BRIEF DESCRIPTION OF DUTIES: TEACH EDUCATION FOR MBA STUDENTS; (9) NAME OF OTHER BUSINESS: FIXED INSURANCE WITH VARIOUS COMPANIES; INVESTMENT RELATED: YES; ADDRESS: SAME AS REGISTERED LOCATION; NATURE OF BUSINESS: FIXED INSURANCE; START DATE: 03/2020; APX NUMBER OF HOURS PER WEEK: 2; APX NUMBER OF HOURS DURING TRADING HOURS: 2; POSITION/TITLE/RELATIONSHIP: INSURANCE AGENT; BRIEF DESCRIPTION OF DUTIES: SALES OF FIXED INSURANCE PRODUCTS;
CRS (Client Relationship Summary) - RIA
Click below to view Duane T Garth'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
June 29, 2023 - Present
CETERA INVESTMENT ADVISERS LLC
Office #2: 24725 West 12 Mile Rd Suite 304, Southfield, MI 48034RIA
CRD#: 105644
NOVI, MI
Current
September 20, 2019 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 24725 West 12 Mile Rd Suite 304, Southfield, MI 48034BD
CRD#: 13572
SOUTHFIELD, MI
Past
March 23, 2021 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
EL SEGUNDO, CA
Past
March 4, 2010 - December 31, 2016
GFG ASSET MANAGEMENT LLC
RIA
CRD#: 144694
SOUTHFIELD, MI
Past
January 22, 2008 - May 20, 2021
SUMMIT FINANCIAL GROUP INC
RIA
CRD#: 109485
SOUTHFIELD, MI
Past
December 3, 2004 - September 20, 2019
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
SOUTHFIELD, MI
Past
June 21, 2002 - December 7, 2004
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
BD
CRD#: 11025
ST. LOUIS, MO
Past
November 22, 1989 - July 8, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 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(7/2/2020)
RR
California(9/20/2019)
RR
Florida(2/25/2020)
RR
Georgia(9/20/2019)
RR
Illinois(9/20/2019)
RR
Indiana(9/8/2021)
RR
Kentucky(3/17/2020)
RR
Michigan(9/20/2019)
IAR
Michigan(6/29/2023)
RR
Mississippi(7/3/2025)
RR
Nevada(9/20/2019)
RR
New Jersey(1/16/2025)
RR
New York(7/3/2020)
RR
North Carolina(10/29/2020)
RR
Ohio(9/20/2019)
RR
South Carolina(9/20/2019)
RR
Texas(9/20/2019)
IAR
Texas(6/29/2023)
RR
Virginia(1/9/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CETERA INVESTMENT ADVISERS LLC
CETERA ADVISOR NETWORKS | TERRA FINANCIAL PLANNING GROUP LTD | GENWORTH FINANCIAL ADVISERS CORPORATION | FIRST ALLIED ADVISORY SERVICES | CETERA INVESTMENT ADVISERS LLC | CETERA ADVISORS
CRD#: 105644 / SEC#: 801-20406
RIA
Registered Investment Advisory firm - (1/13/1984 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096
Mailing Address
Phone number
(310) 257-7880
Established
Firm type
Fiscal year end
# of Employees
7,705
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 584,487 |
| AUM (Assets Under Management) | $ 163,792,814,520 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/27/2025 | ||
| 12/13/2024 | ||
| 09/26/2023 | ||
| 11/18/2022 |
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.
