Donald L. Garton
ADVANTAGE INVESTMENT MANAGEMENT
Louisville, KY 40222
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CRD#: 2125313
Professional summary
Donald Lee Garton, CFP®, ChFC® is a registered financial advisor currently at ADVANTAGE INVESTMENT MANAGEMENT located in Louisville, Kentucky.
Donald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1991. Donald has worked at 8 firms and has passed the Series 63, Series 6TO, 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.)2703 Brownsboro LLC-2319 Lime Kiln Lane, Suite A, Louisville, KY. 40222-05/2005-NIR- Residential Real Estate- Managing Partner for property- Lease properties, receive rent checks and arrange for repairs- Not Securities related-5 hrs/month/0 hrs during Securities Trading hours 2.)1264 Cherokee Road LLC-2319 Lime Kiln Lane, Suite A, Louisville, KY. 40222-05/2021-NIR- Residential Real Estate- Managing Partner for property- Lease properties, receive rent checks and arrange for repairs- Not Securities related-5 hrs/month/0 hrs during Securities Trading hours 3.)2319 Lime Kiln Lane, Suite A & B, Louisville, KY. 40222-1997-NIR- Commercial Real Estate- Managing Partner for property- Lease properties, receive rent checks and arrange for repairs- Not Securities related-5 hrs/month/0 hrs during Securities Trading hours 4.)Advantage Investment Management-2319 Lime Kiln Lane, Suite A, Louisville, KY.40222-09/1997-NIR- Agent for Traditional Life Insurance, Health Insurance, Disability Insurance, Long-term Care Insurance, Fixed and Indexed Annuities-Identify client's needs and recommend product solutions- Sole Proprietor-5 hrs/month/0 hrs during Securities Trading hours 5) Cherokee Park Place, LLC; August 2025; Not investment related; Louisville, KY; Owner; 0 hours per month during securities trading hours; 10 hours per month outside of securities trading hours. 6.)Highland Presbyterian Church-1011 Cherokee Road, Louisville, KY. 40204-06/2013- NIR- Member of Finance Committee- Committee sets a budget for the church, monitors church expenditures, establish policies for handling cash and receive the report of the Investment Committee- Church Organization-5 hrs/month/0 hrs during Securities Trading hours
CRS (Client Relationship Summary) - RIA
Click below to view Donald Lee Garton'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®
CFP®
Start date: 1997
Experience
Current
October 25, 2010 - Present
ADVANTAGE INVESTMENT MANAGEMENT
Office #1: Glenview Pointe Business Center 2319 Lime Kiln Lane, Suite A, Louisville, KY 40222RIA
CRD#: 146493
Louisville, KY
Past
November 16, 2020 - March 31, 2022
BENCHMARK ADVISORY SERVICES, LLC
RIA
CRD#: 305662
Louisville, KY
Past
November 16, 2020 - March 31, 2022
D. BORAL CAPITAL
BD
CRD#: 103792
Louisville, KY
Past
September 18, 2020 - November 19, 2020
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LOUSIVILLE, KY
Past
August 7, 2012 - September 18, 2020
SECURITIES SERVICE NETWORK, LLC
BD
CRD#: 13318
LOUSIVILLE, KY
Past
June 4, 2004 - October 19, 2005
OSAIC FS, INC.
RIA
CRD#: 3870
LOUISVILLE, KY
Past
May 28, 2004 - August 13, 2012
OSAIC FS, INC.
BD
CRD#: 3870
LOUISVILLE, KY
Past
February 12, 2004 - June 4, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
LOUISVILLE, KY
Past
April 8, 1991 - June 4, 2004
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
April 8, 1991 - June 4, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
BD
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".
AI
ADVANTAGE INVESTMENT MANAGEMENT
ADVANTAGE INVESTMENT MANAGEMENT | GARTON AND ASSOCIATES, LLC | GARTON AND ASSOCIATES FINANCIAL ADVISORS LLC | AIM | ADVANTAGE INVESTMENT MANANGEMENT | ADVANTAGE INVESTMENT MANAGEMENT & RETIREMENT PLAN SPECIALISTS
CRD#: 146493 / SEC#: 801-125798
RIA
Registered Investment Advisory firm - (5/2/2022 Approved)Indiana
Registered Investment Advisory firm - (5/6/2022 Terminated)Kentucky
Registered Investment Advisory firm - (6/17/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/5/2022 Terminated)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.Highlighted states indicate IAR registrations
IAR
Kentucky(10/25/2010)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Current Firm
AI
ADVANTAGE INVESTMENT MANAGEMENT
ADVANTAGE INVESTMENT MANAGEMENT | GARTON AND ASSOCIATES, LLC | GARTON AND ASSOCIATES FINANCIAL ADVISORS LLC | AIM | ADVANTAGE INVESTMENT MANANGEMENT | ADVANTAGE INVESTMENT MANAGEMENT & RETIREMENT PLAN SPECIALISTS
CRD#: 146493 / SEC#: 801-125798
RIA
Registered Investment Advisory firm - (5/2/2022 Approved)Indiana
Registered Investment Advisory firm - (5/6/2022 Terminated)Kentucky
Registered Investment Advisory firm - (6/17/2022 Terminated)Pennsylvania
Registered Investment Advisory firm - (5/5/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
Glenview Pointe Business Center 2319 Lime Kiln Lane, Suite A, Louisville, KY 40222
Mailing Address
Phone number
(502) 212-3000
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 386 |
| AUM (Assets Under Management) | $ 184,871,474 |
Red Flags
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Company Information
ADVANTAGE INVESTMENT MANAGEMENT
CRD#: 146493Louisville, KY 40222TRUST BUT VERIFY
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