Garth D. Scrivner
UNITED CAPITAL FINANCIAL ADVISORS
ALBUQUERQUE, NM 87110
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CRD#: 4372773
Professional summary
Garth David Scrivner, CFP® is a registered financial advisor currently at UNITED CAPITAL FINANCIAL ADVISORS located in Albuquerque, New Mexico.
Garth is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Garth has worked at 5 firms and has passed the Series 63, Series 7TO, SIE and Series 7 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.
Investment Committee Chair at All Faiths, an educational institution. Organization's primary address is in Albuquerque, NM. Organization is not primarily engaged in investment-related activities. Start Date is May 14th, 2019. Six hours per month. Duties include monitoring the organization's endowment.
CRS (Client Relationship Summary) - RIA
Click below to view Garth David Scrivner'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®
CFP®
Start date: 2008
Experience
Current
May 15, 2015 - Present
UNITED CAPITAL FINANCIAL ADVISORS
Office #1: 6565 Americas Pkwy Ne Ste 810, Albuquerque, NM 87110RIA
CRD#: 134600
ALBUQUERQUE, NM
Past
August 18, 2023 - November 15, 2023
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
NEWPORT BEACH, CA
Past
June 24, 2008 - May 15, 2015
STANCORP INVESTMENT ADVISERS, INC.
RIA
CRD#: 110228
ALBUQUERQUE, NM
Past
November 26, 2003 - November 19, 2008
SCRIVNER FINANCIAL SERVICES, LLC
RIA
CRD#: 129646
ALBUQUERQUE, NM
Past
May 17, 2001 - December 4, 2003
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
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".
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 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
Montana(2/7/2020)
IAR
New Mexico(5/18/2015)
IAR
Texas(5/15/2015)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/17/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Current Firm
UC
UNITED CAPITAL FINANCIAL ADVISORS
FINLIFE PARTNERS | UNITED CAPITAL WEALTH | UNITED CAPITAL RETIREMENT ADVISERS | UNITED CAPITAL PRIVATE WEALTH COUNSELING | UNITED CAPITAL FINANCIAL LIFE MANAGEMENT | UNITED CAPITAL FINANCIAL ADVISORS, LLC | UNITED CAPITAL FINANCIAL ADVISORS | UNITED CAPITAL FINANCIAL ADVISERS, LLC | UNITED CAPITAL FINANCIAL ADVISERS, INC. | UNITED CAPITAL FINANCIAL ADVISERS | UNITED CAPITAL | UCFA, LLC | UCFA | PFM | GS PFM | GOLDMAN SACHS PERSONAL FINANCIAL MANAGEMENT
CRD#: 134600 / SEC#: 801-64376
RIA
Registered Investment Advisory firm - (6/9/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
125 E John Carpenter Frwy Suite 1300, Irving, TX 75062
Mailing Address
Phone number
(972) 822-2055
Established
Firm type
Fiscal year end
# of Employees
271
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 41,738 |
| AUM (Assets Under Management) | $ 17,211,052,120 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/01/2024 | ||
| 10/30/2023 | ||
| 01/26/2023 |
Red Flags
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Company Information
UNITED CAPITAL FINANCIAL ADVISORS
CRD#: 134600Albuquerque, NM 87110TRUST BUT VERIFY
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