Garry E. Getz

Some features on this profile are disabled

CRD#: 2021406

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.

Garry Edward Getz was a registered financial professional .

Garry is a previously registered financial professional and started their career in finance in 1990. Garry had worked at 14 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

May 30, 2014 - February 18, 2016

LPL FINANCIAL LLC

RIA

CRD#: 6413

MUNDELEIN, IL

Past

May 30, 2014 - February 18, 2016

LPL FINANCIAL LLC

CRD#: 6413

MUNDELEIN, IL

Past

December 19, 2013 - June 2, 2014

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

CHICAGO, IL

Past

October 30, 2013 - June 2, 2014

NATIONAL SECURITIES CORPORATION

CRD#: 7569

CHICAGO, IL

Past

July 18, 2011 - September 5, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

RIA

CRD#: 137115

LINCOLNWOOD, IL

Past

July 18, 2011 - September 5, 2013

BMO HARRIS FINANCIAL ADVISORS, INC.

CRD#: 137115

LINCOLNWOOD, IL

Past

December 2, 2010 - July 20, 2011

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

CHICAGO, IL

Past

November 29, 2010 - July 20, 2011

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

CHICAGO, IL

Past

March 11, 2010 - November 29, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

EVANSTON, IL

Past

March 11, 2010 - November 29, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

EVANSTON, IL

Past

September 12, 2007 - August 25, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHICAGO, IL

Past

September 12, 2007 - August 25, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHICAGO, IL

Past

April 10, 2007 - August 22, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

CHICAGO, IL

Past

April 10, 2007 - August 22, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

CHICAGO, IL

Past

May 28, 2004 - April 11, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

CHICAGO, IL

Past

May 28, 2004 - April 11, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

CHICAGO, IL

Past

October 17, 2002 - June 2, 2004

LASALLE FINANCIAL SERVICES, INC.

RIA

CRD#: 20373

SKOKIE, IL

Past

October 17, 2002 - June 2, 2004

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

August 7, 2000 - October 14, 2002

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

WILMETTE, IL

Past

May 12, 2000 - October 14, 2002

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

April 7, 1999 - January 5, 2000

COYLE SECURITIES, L.L.C.

CRD#: 43804

GLENVIEW, IL

Past

March 2, 1998 - April 9, 1999

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

August 17, 1995 - March 2, 1998

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

April 12, 1993 - June 24, 1996

RBC CAPITAL MARKETS, LLC

CRD#: 31194

NEW YORK, NY

Past

September 28, 1992 - April 12, 1993

DAIN RAUSCHER INCORPORATED

CRD#: 7600

Past

January 23, 1990 - February 7, 1992

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

January 23, 1990 - February 7, 1992

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".

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/13/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/25/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 2/18/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/20/1990

General Securities Representative Examination

Current Firm

LPL FINANCIAL LLC

CRD#: 6413 / SEC#: 801-10970, 8-17668

RIA

Registered Investment Advisory firm - SEC (8/25/1975 Approved)

Broker-Dealer Firm Regulated by FINRA (Atlanta district office)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

1055 Lpl Way, Fort Mill, SC 29715

Mailing Address

1055 Lpl Way, Fort Mill, SC 29715

Phone number

(704) 733-3300

Established

California since 11/15/2010

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

37,893

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

LPLE OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL THIRD PARTY CO-ADVISORY OMP PROGRAM BROCHURE A12-R (10/22/2025)

LPL CUSTOM CO-ADVISORY OMP PROGRAM BROCHURE A12-EQH (10/22/2025)

LPL OMP PROGRAM BROCHURE A12 (10/22/2025)

LPL CUSTOM CO-ADVISORY MWP PROGRAM BROCHURE A11-EQH (9/30/2025)

LPL PWP PROGRAM BROCHURE A9 (9/30/2025)

LPL RETIREMENT PLAN PROGRAMS BROCHURE A15 (9/30/2025)

LPL SAM PROGRAM BROCHURE A7 (9/30/2025)

LPL CUSTOM CO-ADVISORY MS PROGRAM BROCHURE MS302-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MWP PROGRAM BROCHURE A11-R (9/30/2025)

LPL CUSTOM CO-ADVISORY PWP PROGRAM BROCHURE A9-EQH (9/30/2025)

LPLE MS PROGRAM BROCHURE MS302 (9/30/2025)

LPLE PWP PROGRAM BROCHURE A9 (9/30/2025)

LPLE SAM PROGRAM BROCHURE A7 (9/30/2025)

LPLE MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL MWP PROGRAM BROCHURE A11 (9/30/2025)

LPL THIRD PARTY CO-ADVISORY MAS PROGRAM BROCHURE MS302-R (9/30/2025)

LPL CUSTOM CO-ADVISORY SAM I AND SAM II PROGRAM BROCHURE A7-EQH (9/30/2025)

LPL THIRD PARTY CO-ADVISORY PWP PROGRAM BROCHURE A9-R (9/30/2025)

LPL MS PROGRAM BROCHURE MS302 (9/30/2025)

LPL APP PROGRAM BROCHURE A16 (7/15/2025)

LPLE GUIDED WEALTH PORTFOLIOS (3/31/2025)

GUIDED WEALTH PORTFOLIOS (3/31/2025)

BANK WEALTH PROGRAM (3/31/2025)

LPL FIRM BROCHURE A58 (3/31/2025)

Direct owners and executive officers

Name	Position	CRD#
LPL HOLDINGS, INC.	MANAGING MEMBER
AUDETTE, MATTHEW JON	PRESIDENT AND CHIEF FINANCIAL OFFICER	4003349
ENYEDI, MATTHEW KLAUS	MANAGING DIRECTOR, NATIONAL SALES	4194266
GATES, GREGORY	MANAGING DIRECTOR, CHIEF INFORMATION OFFICER	7069201
JAMBUSARIA, ANERI	MANAGING DIRECTOR LPL SERVICES GROUP	7248335
MALFITANO, STEVEN THOMAS	SVP, FINANCE CAPITAL MANAGEMENT AND PRINCIPAL FINANCIAL OFFICER	3178848
MCHALE, JAMES	EXECUTIVE VICE PRESIDENT, CHIEF COMPLIANCE OFFICER	6052977
RICKETTS, JUDITH KOHOSKIE	EXECUTIVE VICE PRESIDENT, OPERATIONS AND PRINCIPAL OPERATIONS OFFICER	2758924
SIMONICH, BRENT BLAIN	EXECUTIVE VICE PRESIDENT, CHIEF RISK OFFICER	3254859
STEINMEIER, RICHARD C	CHIEF EXECUTIVE OFFICER AND DIRECTOR	5109512

Regulatory assets under management

Total Number of Accounts	2,369,378
AUM (Assets Under Management)	$ 618,922,975,737

Disclosures

Regulatory Event	208
Arbitration	58
Bond	4

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
06/25/2025	Cover Page	Report
07/19/2024	Cover Page	Report
11/09/2023	Cover Page	Report

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Garry E. Getz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LPL FINANCIAL LLC

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

BMO HARRIS FINANCIAL ADVISORS, INC.

BMO HARRIS FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

LASALLE FINANCIAL SERVICES, INC.

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

COYLE SECURITIES, L.L.C.

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

RBC CAPITAL MARKETS, LLC

DAIN RAUSCHER INCORPORATED

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

LPL FINANCIAL LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/13/1998

Series 63

Date: 1/25/1990

SIE

Date: 2/18/2016

Series 7

Date: 1/20/1990

Current Firm

LPL FINANCIAL LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

LPL FINANCIAL LLC

TRUST BUT VERIFY

Similar Advisors