Deanna Garen
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Deanna Garen, AIF®, who also goes by Deanna Dobbins, Deanna Miller, was a registered financial professional .
Deanna is a previously registered financial professional and started their career in finance in 2002. Deanna had worked at 9 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2021 - April 24, 2024
CREATIVE PLANNING
March 25, 2019 - April 11, 2022
LOCKTON INVESTMENT ADVISORS, LLC
March 25, 2019 - December 14, 2021
LOCKTON INVESTMENT SECURITIES, LLC
April 30, 2018 - March 25, 2019
LOCKTON INVESTMENT ADVISORS, LLC
January 11, 2018 - March 25, 2019
LOCKTON INVESTMENT SECURITIES, LLC
January 22, 2014 - November 15, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
August 29, 2013 - December 12, 2013
OSAIC WEALTH, INC.
January 19, 2010 - September 1, 2011
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
February 9, 2009 - September 1, 2011
NYLIFE DISTRIBUTORS LLC
December 6, 2004 - July 9, 2008
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
July 9, 2002 - December 6, 2004
PRUDENTIAL RETIREMENT BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
CREATIVE PLANNING
CRD#: 105348 / SEC#: 801-18564
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 12/14/2022
General Securities Representative ExaminationCurrent Firm
CREATIVE PLANNING
CRD#: 105348 / SEC#: 801-18564
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 269,686 |
| AUM (Assets Under Management) | $ 217,399,324,981 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/27/2025 | ||
| 09/19/2024 | ||
| 01/03/2024 | ||
| 01/18/2023 |
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.
