John J. Garrett
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.
John Jones Garrett, who also goes by John J. Garrett Jr., was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 2005. John had worked at 5 firms and has passed the Series 66 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 21, 2013 - September 3, 2013
AVALON WEALTH MANAGEMENT LLC
March 28, 2013 - September 3, 2013
AVALON INVESTMENT & ADVISORY
May 5, 2010 - April 3, 2013
HOUSTON GLOBAL INVESTORS, LLC
June 19, 2007 - October 26, 2009
BREEN INVESTORS LP
March 15, 2005 - July 31, 2006
MORGAN KEEGAN & COMPANY, LLC
February 18, 2005 - July 31, 2006
MORGAN KEEGAN & COMPANY, LLC
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
Current Firm
AVALON WEALTH MANAGEMENT LLC
CRD#: 162745 / SEC#: , 8-69066
Contact information
FINRA licenses (1 States and Territories)
Documents
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.
