Garrett M. Alton
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.
Garrett Mitchell Alton, who also goes by Garry Alton, was a registered financial professional .
Garrett is a previously registered financial professional and started their career in finance in 1993. Garrett had worked at 12 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 31, 2025 - October 20, 2025
PENNINGTON PARTNERS & CO., LLC
April 23, 2021 - June 9, 2021
M&T SECURITIES, INC.
April 21, 2021 - June 9, 2021
M&T SECURITIES, INC.
August 10, 2011 - February 6, 2012
BNY MELLON SECURITIES CORPORATION
August 5, 2011 - February 6, 2012
BNY MELLON SECURITIES CORPORATION
November 25, 2008 - December 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 12, 2008 - December 14, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 27, 2008 - October 15, 2008
GFO ADVISORY SERVICES, LLC
July 7, 2006 - April 9, 2008
NEUBERGER BERMAN BD LLC
June 30, 2006 - April 9, 2008
NEUBERGER BERMAN BD LLC
March 15, 2005 - July 27, 2006
INTL ADVISORY CONSULTANTS INC.
October 14, 2004 - July 5, 2006
STERNE, AGEE & LEACH, INC.
October 14, 2004 - July 5, 2006
STERNE, AGEE & LEACH, INC.
February 25, 2003 - October 26, 2004
MORGAN STANLEY DW INC.
August 23, 1999 - October 26, 2004
MORGAN STANLEY DW INC.
July 18, 1997 - August 30, 1999
J.C. BRADFORD & CO.
June 9, 1995 - July 28, 1997
THE ROBINSON-HUMPHREY COMPANY, LLC
September 29, 1993 - July 22, 1995
FIRST UNION BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
PENNINGTON PARTNERS & CO., LLC
CRD#: 282688 / SEC#: 801-107210
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 4/21/2021
General Securities Representative ExaminationCurrent Firm
PENNINGTON PARTNERS & CO., LLC
CRD#: 282688 / SEC#: 801-107210
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,026 |
| AUM (Assets Under Management) | $ 3,952,033,573 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/27/2025 | ||
| 03/07/2024 | ||
| 03/27/2023 |
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.
