Garrett G. Gatch

ANACAPA FINANCIAL

Ventura, CA 93003

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CRD#: 4404785

Professional summary

Garrett George Gatch is a registered financial advisor currently at ANACAPA FINANCIAL, LLC located in Ventura, California.

Garrett is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2001. Garrett has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 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.

CONCORD & LEXINGTON, INC., YES, 6226 GOLDENEYE STREET VENTURA, CA 93003-0232, OWNER, 2005, 20, 20, PROVIDE TERM- LIFE AND LONG- TERM CARE POLICIES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Garrett George Gatch'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®

None

Experience

Current

December 2, 2024 - Present

ANACAPA FINANCIAL, LLC

Office #1: 1363 Donlon Street #5, Ventura, CA 93003

RIA

CRD#: 305365

Ventura, CA

Past

May 21, 2009 - December 1, 2022

FSC SECURITIES CORPORATION

RIA

CRD#: 7461

VENTURA, CA

Past

April 11, 2005 - December 1, 2022

FSC SECURITIES CORPORATION

CRD#: 7461

VENTURA, CA

Past

April 12, 2002 - April 15, 2005

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

June 20, 2001 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

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
(12/2/2024)

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

IAR

Series 66

Date: 5/18/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 6/12/2001

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: 3/6/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 6/19/2001

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 6/25/2001

Investment Company Products/Variable Contracts Principal Examination

Current Firm

ANACAPA FINANCIAL, LLC

CRD#: 305365 / SEC#:

California

Registered Investment Advisory firm - (10/28/2019 Approved)

Texas

Registered Investment Advisory firm - (5/23/2023 Conditional Restricted)

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Contact information

Main Address

1363 Donlon Street #5, Ventura, CA 93003

Mailing Address

Phone number

(805) 715-3536

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	429
AUM (Assets Under Management)	$ 56,713,995

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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Advisor Monitoring

Firm Stability Insights

Garrett G. Gatch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Garrett George Gatch's CRS (Customer Relationship Summary).

Certified licenses

Experience

FSC SECURITIES CORPORATION

FSC SECURITIES CORPORATION

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 5/18/2009

Series 63

Date: 6/12/2001

SIE

Date: 10/1/2018

Series 7

Date: 3/6/2006

Series 6

Date: 6/19/2001

Series 26

Date: 6/25/2001

Current Firm

ANACAPA FINANCIAL, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ANACAPA FINANCIAL, LLC

TRUST BUT VERIFY

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