RG
Richard A. Garber
ASHTON THOMAS PRIVATE WEALTH
Saint Helena, CA 94574
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CRD#: 2240136
RG
Professional summary
Richard A Garber, CPWA®, who also goes by Richard Allan Garber, Richard Allen Garber, Rick Garber, Ricky Garber, is a registered financial advisor currently at ASHTON THOMAS PRIVATE WEALTH located in Saint Helena, California and M. S. HOWELLS & CO. located in Saint Helena, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 62 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Allan Garber | Richard Allen Garber | Rick Garber | Ricky Garber
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. OCT 22,2020; ASHTON THOMAS PRIVATE WEALTH, SCOTTSDALE, AZ; INVESTMENT RELATED; REGISTERED INVESTMENT ADVISOR; MANAGING WEALTH ADVISOR/CERTIFIED PRIVATE WEALTH ADVISOR; MANAGING CLIENT PORTFOLIOS; DEVOTE 160 HRS/MONTH; 120 HRS/MONTH DURING MARKET HOURS. 2. OCT 22, 2020; ASHTON THOMAS INSURANCE AGENCY, SCOTTSDALE, AZ; NON INVESTMENT RELATED; LIFE INSURANCE SALES; LIFE INSURANCE AGENT; DEVOTE 20 HRS/MONTH DURING MARKET HOURS. 3. 06/12/2018; CINEMA NAPA VALLEY; NOT INVESTMENT RELATED; 952 SCHOOL STREET, #390, NAPA, CA 94559; BOARD CHAIRMAN; MANAGE BOARD OF DIRECTORS AND EXECUTION OF MISSION. 4. 06/08/2023; NIMBUS ARTS; NOT INVESTMENT RELATED; 649 MAIN STREET, SAINT HELENA, CA 94574; TREASURER, BOARD OF DIRECTORS; DEVELOP STRATEGY FOR EXECUTING MISSION, DEVELOP AND REVIEW ANNUAL BUDGET WITH DIRECTORS AND BOARD CHAIR. 5. 02/12/2024; BLACKBIRD VINEYARDS, LLC; NOT INVESTMENT RELATED; 831 LATOUR COURT, SUITE B1, NAPA, CA 94558; NON-VOTING INVESTOR; NO RESPONSIBILITIES 6) ASHTON THOMAS MANAGEMENT, LLC; YES, INVESTMENT RELATED; 16192 COASTAL HIGHWAY, LEWES, DE 19958; WEALTH MANAGEMENT/FINANCIAL SERVICES/HOLDING COMPANY; PARTNER; 12/01/2024; 0 HOURS; NO RESPONSIBILITIES OR AUTHORITY.
CRS (Client Relationship Summary) - RIA
Click below to view Richard A Garber'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®
CPWA®
Start date: 2011-04-21
Expire date: 2023-03-31
Experience
Current
October 22, 2020 - Present
ASHTON THOMAS PRIVATE WEALTH
Office #1: 1377 Main Street Suite 2, Saint Helena, CA 94574RIA
CRD#: 153902
Saint Helena, CA
Current
November 23, 2020 - Present
M. S. HOWELLS & CO.
Office #1: 1377 Main Street Suite 2, Saint Helena, CA 94574BD
CRD#: 104100
Saint Helena, CA
Past
May 31, 2012 - October 30, 2020
MORGAN STANLEY
RIA
CRD#: 149777
Saint Helena, CA
Past
May 25, 2012 - October 30, 2020
MORGAN STANLEY
BD
CRD#: 149777
ATLANTA, GA
Past
July 3, 2007 - May 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ATLANTA, GA
Past
June 23, 2007 - May 29, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ATLANTA, GA
Past
April 15, 2005 - June 7, 2007
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
January 8, 2004 - April 18, 2005
DWS DISTRIBUTORS, INC.
BD
CRD#: 37306
CHICAGO, IL
Past
August 1, 2002 - January 6, 2004
COREBRIDGE CAPITAL SERVICES, INC.
BD
CRD#: 13158
JERSEY CITY, NJ
Past
January 22, 2001 - July 11, 2002
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
June 27, 1994 - February 8, 2001
THE ROBINSON-HUMPHREY COMPANY, LLC
BD
CRD#: 723
ATLANTA, GA
Past
June 8, 1992 - June 27, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
BD
CRD#: 2580
FORT WAYNE, IN
Past
June 8, 1992 - June 27, 1994
OSAIC FA, INC.
BD
CRD#: 3978
FORT WAYNE, IN
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".
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 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
IAR
Arizona(10/30/2020)
RR
Arizona(11/23/2020)
IAR
California(10/22/2020)
RR
California(11/23/2020)
RR
Florida(1/8/2021)
IAR
Florida(4/7/2021)
IAR
Georgia(11/6/2020)
RR
Georgia(11/23/2020)
RR
Minnesota(11/23/2020)
IAR
Texas(10/23/2020)
RR
Washington(11/23/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 62
Date: 5/7/1993
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
AT
ASHTON THOMAS PRIVATE WEALTH
AMPLIFY PLATFORM | SECOND 50 FINANCIAL | NORTE ADVISORS, LLC | MILL STREET FINANCIAL | JAY R. PENNEY, LLC | GENTRY WEALTH MANAGEMENT | GENTRY ASSET ADVISORY LLC | FORGE PRIVATE WEALTH | CAMPBELL PRIVATE WEALTH MANAGEMENT | ASHTON THOMAS PRIVATE WEALTH, LLC | ASHTON THOMAS PRIVATE WEALTH | ASHTON THOMAS
CRD#: 153902 / SEC#: 801-71512
RIA
Registered Investment Advisory firm - (6/15/2010 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
8605 East Raintree Drive Suite 280, Scottsdale, AZ 85260
Mailing Address
Phone number
(602) 732-4745
Established
Firm type
Fiscal year end
# of Employees
114
SEC notice filing (35 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,733 |
| AUM (Assets Under Management) | $ 4,051,333,740 |
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.
Company Information
ASHTON THOMAS PRIVATE WEALTH
CRD#: 153902Saint Helena, CA 94574TRUST BUT VERIFY
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