Stephen E. Garrett

STEVE GARRETT AND ASSOCIATES,INC.

Glendora, CA 91741

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CRD#: 218223

Professional summary

Stephen Earl Garrett is a registered financial advisor currently at STEVE GARRETT AND ASSOCIATES,INC. located in Glendora, California.

Stephen is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1973. Stephen has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 15, PC, Series 1, Series 9, Series 10 and Series 8 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. 2/17/2010 - REGISTERED INVESTMENT ADVISOR - STEVE GARRETT AND ASSOCIATES - RIA - (FP) - INV REL - MONROVIA, CA. 2. 6/6/2011 - Business Owner - RAINMAKER CONSULTING NETWORK - CONSULTING, TRAINING, SEMINAR AND PUBLIC SPEAKING ON THE TOPICS OF LEADERSHIP AND SALES BOARD GOVERNANCE. - 10% OF TIME SPENT - NOT INV REL - AT REPORTED BUSINESS LOCATION(S) 3. 3/14/2013: STEVE GARRETT AND ASSOCIATES, INC. - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) - TIME SPENT 75% 4. 10/14/2019 - Steve Garrett - Investment related - At reported business location(s) - Author - start date:06/02/2008 - 20 hrs/mo - 0 hrs during trading. m 5. 08/03/2022 - Steve Garrett and Associates, Inc. - Investment Related - At Reported Business Location(s) - FINRA Mediator - Start Date - 02/01/2012 - 0 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Earl Garrett'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®

None

Experience

Current

January 24, 2018 - Present

STEVE GARRETT AND ASSOCIATES,INC.

Office #1: 449 West Foothill Blvd Suite 216, Glendora, CA 91741

RIA

CRD#: 126791

Glendora, CA

Past

October 2, 2003 - December 31, 2017

STEVE GARRETT AND ASSOCIATES,INC.

RIA

CRD#: 126791

MONROVIA, CA

Past

June 6, 1996 - October 25, 2023

LPL FINANCIAL LLC

RIA

CRD#: 6413

GLENDORA, CA

Past

March 29, 1993 - October 25, 2023

LPL FINANCIAL LLC

CRD#: 6413

GLENDORA, CA

Past

February 18, 1992 - September 29, 1992

NEWPORT COAST SECURITIES, INC.

CRD#: 16944

NEW YORK, NY

Past

September 26, 1978 - November 1, 1990

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 1, 1973 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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

California
(1/24/2018)

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

Series 63

Date: 2/2/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 15

Date: 6/5/1984

Foreign Currency Options Examination

General Industry/Product Exam

PC

Date: 9/8/1977

AMEX Put and Call Exam

General Industry/Product Exam

Series 1

Date: 5/23/1973

Registered Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 8

Date: 6/3/1983

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

STEVE GARRETT AND ASSOCIATES,INC.

CRD#: 126791 / SEC#: 801-112386

California

Registered Investment Advisory firm - (1/24/2018 Approved)

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Contact information

Main Address

449 West Foothill Blvd Suite 216, Glendora, CA 91741

Mailing Address

Phone number

(626) 390-4753

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

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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Firm Stability Insights

Stephen E. Garrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Earl Garrett's CRS (Customer Relationship Summary).

Certified licenses

Experience

STEVE GARRETT AND ASSOCIATES,INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

NEWPORT COAST SECURITIES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/2/1981

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 15

Date: 6/5/1984

PC

Date: 9/8/1977

Series 1

Date: 5/23/1973

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 8

Date: 6/3/1983

Current Firm

STEVE GARRETT AND ASSOCIATES,INC.

Contact information

Documents

Red Flags

Company Information

STEVE GARRETT AND ASSOCIATES,INC.

TRUST BUT VERIFY

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