Ernest D. Garrett

TOWNELEY CAPITAL MANAGEMENT

Laguna Hills, CA 92653

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CRD#: 3187574

Professional summary

Ernest Daniel Garrett, CFP® is a registered financial advisor currently at TOWNELEY CAPITAL MANAGEMENT, INC. located in Laguna Hills, California.

Ernest is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Ernest has worked at 3 firms and has passed the Series 63 and Series 6 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest Daniel Garrett'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®

CFP^®

Certified Financial Planner

Start date: 2004

Experience

Current

December 19, 2013 - Present

TOWNELEY CAPITAL MANAGEMENT, INC.

Office #1: 23197 La Cadena Drive Suite 103, Laguna Hills, CA 92653

RIA

CRD#: 169863

Laguna Hills, CA

Past

February 9, 2005 - January 31, 2014

TOWNELEY CAPITAL MANAGEMENT, INC.

RIA

CRD#: 108882

LAGUNA HILLS, CA

Past

March 3, 1999 - June 21, 1999

SIMMERS CAPITAL MANAGEMENT CORPORATION

CRD#: 29960

PHOENIX, AZ

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".

TOWNELEY CAPITAL MANAGEMENT, INC.

TOWNELEY CAPITAL MANAGEMENT, INC. | TOWNELEY INVESTMENT MANAGEMENT, INC.

CRD#: 169863 / SEC#: 801-78957

RIA

Registered Investment Advisory firm - (12/19/2013 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.

Highlighted states indicate IAR registrations

IAR

California
(12/19/2013)

IAR

Texas
(12/19/2013)

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: 3/19/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 2/23/1999

Investment Company Products/Variable Contracts Representative Examination

Current Firm

TOWNELEY CAPITAL MANAGEMENT, INC.

TOWNELEY CAPITAL MANAGEMENT, INC. | TOWNELEY INVESTMENT MANAGEMENT, INC.

CRD#: 169863 / SEC#: 801-78957

RIA

Registered Investment Advisory firm - (12/19/2013 Approved)

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Contact information

Main Address

23197 La Cadena Drive Suite 103, Laguna Hills, CA 92653

Mailing Address

Phone number

(949) 837-3580

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (12 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TOWNELEY CAPITAL MANAGEMENT, INC. DISCLOSURE BROCHURE (4/28/2025)

Regulatory assets under management

Total Number of Accounts	423
AUM (Assets Under Management)	$ 1,024,211,665

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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Ernest D. Garrett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ernest Daniel Garrett's CRS (Customer Relationship Summary).

Certified licenses

Experience

TOWNELEY CAPITAL MANAGEMENT, INC.

TOWNELEY CAPITAL MANAGEMENT, INC.

SIMMERS CAPITAL MANAGEMENT CORPORATION

Primary Firm SEC Registration

TOWNELEY CAPITAL MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/19/1999

Series 6

Date: 2/23/1999

Current Firm

TOWNELEY CAPITAL MANAGEMENT, INC.

Contact information

SEC notice filing (12 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

TOWNELEY CAPITAL MANAGEMENT, INC.

TRUST BUT VERIFY

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