DG
Daniel E. Garwood
CBG & COMPANY
Clearwater, FL
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CRD#: 2894041
DG
Professional summary
Daniel Eugene Garwood, who also goes by Daniel E Garwood, is a registered financial advisor currently at CBG & COMPANY, INC. located in Clearwater, Florida.
Daniel is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Daniel has worked at 2 firms and has passed the Series 65, Series 63 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Daniel E Garwood
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Eugene Garwood'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®
NoneExperience
Current
March 17, 2009 - Present
CBG & COMPANY, INC.
RIA
CRD#: 149225
Clearwater, FL
Past
August 25, 1998 - May 27, 1999
ROBERT W. BAIRD & CO. INCORPORATED
BD
CRD#: 8158
MILWAUKEE, WI
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".
C&
CBG & COMPANY, INC.
CBG & COMPANY, INC.
CRD#: 149225 / SEC#: 801-112354
RIA
Registered Investment Advisory firm - (1/19/2018 Approved)California
Registered Investment Advisory firm - (2/28/2018 Terminated)Georgia
Registered Investment Advisory firm - (3/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (1/19/2018 Terminated)Indiana
Registered Investment Advisory firm - (1/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (1/31/2018 Terminated)Ohio
Registered Investment Advisory firm - (1/29/2018 Terminated)Texas
Registered Investment Advisory firm - (1/29/2018 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
Florida(1/27/2022)
IAR
Indiana(3/17/2009)
IAR
Texas(5/27/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
C&
CBG & COMPANY, INC.
CBG & COMPANY, INC.
CRD#: 149225 / SEC#: 801-112354
RIA
Registered Investment Advisory firm - (1/19/2018 Approved)California
Registered Investment Advisory firm - (2/28/2018 Terminated)Georgia
Registered Investment Advisory firm - (3/29/2018 Terminated)Illinois
Registered Investment Advisory firm - (1/19/2018 Terminated)Indiana
Registered Investment Advisory firm - (1/29/2018 Terminated)Michigan
Registered Investment Advisory firm - (1/31/2018 Terminated)Ohio
Registered Investment Advisory firm - (1/29/2018 Terminated)Texas
Registered Investment Advisory firm - (1/29/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
14074 Trade Center Drive Suite 151, Fishers, IN 46038
Mailing Address
Phone number
(317) 257-7400
Established
Firm type
Fiscal year end
# of Employees
9
SEC notice filing (14 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 543 |
| AUM (Assets Under Management) | $ 252,079,191 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
