Billy J. Uzzell

ANDREW GARRETT

SPRINGFIELD, MO

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CRD#: 2804332

Professional summary

Billy James Uzzell is a registered financial advisor currently at ANDREW GARRETT INC. located in Springfield, Missouri.

Billy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Billy has worked at 1 firm and has passed the Series 66, Series 63, 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.

SPRING VALLEY REALTY PROPERTY MGMT CO. SHOW PROPERTIES,SCHEDULE MAINTENANCE AS REQUIRED 10 HOURS MONTHLY COMPENSATION IS % OF RENTS EXPEDIA .COM NON-INVESTMENT RELATED WORKING NIGHTS AND WEEKENDS FROM HOME

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Billy James Uzzell's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Billy James Uzzell's CRS (Customer Relationship Summary).

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

April 9, 2015 - Present

ANDREW GARRETT INC.

RIA

CRD#: 29931

SPRINGFIELD, MO

Current

October 31, 1996 - Present

ANDREW GARRETT INC.

Office #1: 230 Park Ave 3rd Floor West, New York, NY 10169

RIA

CRD#: 29931

NEW YORK, NY

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".

ANDREW GARRETT INC.

ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.

CRD#: 29931 / SEC#: 801-71581, 8-44659

RIA

Registered Investment Advisory firm - SEC (7/6/2010 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/6/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Montana

Registered Investment Advisory firm - SEC (3/14/2019 Terminated)

New York

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Texas

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

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

Arkansas
(9/17/2002)

California
(12/20/1996)

Colorado
(3/8/2023)

Florida
(8/26/2004)

Kansas
(1/3/2001)

Missouri
(10/31/1996)

IAR

Missouri
(4/9/2015)

Nebraska
(7/27/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 10/16/2014

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/29/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/30/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/29/2008

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

Nasdaq Stock Market

Current Firm

ANDREW GARRETT INC.

ANDREW GARRET, INC | MIDWEST DISCOUNT BROKERS INC. | MIDWEST DISCOUNT BROKERS | ANDREW GARRETT, INC. | ANDREW GARRETT INC.

CRD#: 29931 / SEC#: 801-71581, 8-44659

RIA

Registered Investment Advisory firm - SEC (7/6/2010 Approved)

California

Registered Investment Advisory firm - SEC (11/29/2011 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Georgia

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Illinois

Registered Investment Advisory firm - SEC (7/6/2010 Terminated)

Minnesota

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Montana

Registered Investment Advisory firm - SEC (3/14/2019 Terminated)

New York

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

North Carolina

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Pennsylvania

Registered Investment Advisory firm - SEC (11/30/2011 Terminated)

South Carolina

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Texas

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Virginia

Registered Investment Advisory firm - SEC (11/28/2011 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

230 Park Ave 3rd Floor West, New York, NY 10169

Mailing Address

230 Park Ave 3rd Floor West, New York, NY 10169

Phone number

(212) 682-8833

Established

Delaware since 04/19/2006

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

ANDREW GARRETT, INC. (10/29/2025)

Direct owners and executive officers

Name	Position	CRD#
ANDREW GARRETT HOLDING CORP	OWNER
ESTATE OF JESSE UPCHURCH	SHARE HOLDER
PLAINS CAPITAL BANK	EXECUTOR OF ESTATE
CANNIZZARO-FONG, JANNELLE LYNN	CHIEF FINANCIAL OFFICER/FINOP	4249300
MAURER, MARK HENRY	CHIEF COMPLIANCE OFFICER
MAURER, MARK HENRY	CHIEF COMPLIANCE OFFICER	1496683
MITCHELL, JAMES ROBERT JR	CHIEF ADMINISTRATIVE OFFICER	1374268
SYCOFF, ANDREW GARRETT	CHIEF EXECUTIVE OFFICER/DIRECTOR	2119089

Regulatory assets under management

Total Number of Accounts	1,402
AUM (Assets Under Management)	$ 663,049,158

Disclosures

Regulatory Event

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Billy J. Uzzell

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Billy James Uzzell's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Billy James Uzzell's CRS (Customer Relationship Summary).

Certified licenses

Experience

ANDREW GARRETT INC.

Primary Firm SEC Registration

ANDREW GARRETT INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 10/16/2014

Series 63

Date: 10/29/1996

SIE

Date: 10/1/2018

Series 7

Date: 10/30/1996

Series 24

Date: 10/29/2008

FINRA

Nasdaq Stock Market

Current Firm

ANDREW GARRETT INC.

Contact information

SEC notice filing (34 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

ANDREW GARRETT INC.

TRUST BUT VERIFY

Contact information

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