Max R. Garrison

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CRD#: 5039905

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.

Max Robert Garrison, who also goes by Bob Garrison, Bobby Garrison, Max R Garrison, was a registered financial professional .

Max is a previously registered financial professional and started their career in finance in 2005. Max had worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Bob Garrison | Bobby Garrison | Max R Garrison

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.

1. NAME OF OTHER BUSINESS: WARD J GRINER CREDIT SHELTER TRUST B INVESTMENT RELATED: NO ADDRESS: 23833 SARDINIA DRIVE SORRENTO FL NATURE OF BUSINESS: REAL ESTATE START DATE: 06/2007 POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES 2. NAME OF OTHER BUSINESS: WARD J GRINER Q-TIP TRUST C INVESTMENT RELATED: NO ADDRESS: 23833 SARDINIA DRIVE SORRENTO FL NATURE OF BUSINESS: REAL ESTATE START DATE: 06/2007 POSITION/TITLE/RELATIONSHIP: TRUSTEE APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: LANDLORD DUTIES 3. NAME OF OTHER BUSINESS: GARRISON WEALTH MANAGEMENT, P.A. INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 02/2011 POSITION/TITLE/RELATIONSHIP: OWNER APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PROVIDE FINANCIAL SERVICES 4. NAME OF OTHER BUSINESS: MAXWELL GARRISON INVESTMENT RELATED: NO ADDRESS: 23833 SARDINIA DRIVE SORRENTO FL NATURE OF BUSINESS: FAMILY TRUST START DATE: 06/2007 POSITION/TITLE/RELATIONSHIP: CO-TRUSTEE APX NUMBER OF HOURS PER WEEK: MINIMAL APX NUMBER OF HOURS DURING TRADING HOURS: MINIMAL BRIEF DESCRIPTION OF DUTIES: TRUSTEE FOR FAMILY TRUST

Blog Corner

CRS (Client Relationship Summary)

LPL FINANCIAL LLC

RIA

CRD#: 6413

MOUNT DORA, FL

Past

March 8, 2017 - December 26, 2017

COLLABORATIVE WEALTH

RIA

CRD#: 142106

Mount Dora, FL

Past

August 18, 2009 - June 7, 2017

LPL FINANCIAL LLC

RIA

CRD#: 6413

MOUNT DORA, FL

Past

July 10, 2009 - December 24, 2019

LPL FINANCIAL LLC

CRD#: 6413

MOUNT DORA, FL

Past

March 22, 2007 - July 14, 2009

EDWARD JONES

RIA

CRD#: 250

MT DORA, FL

Past

November 29, 2005 - July 14, 2009

EDWARD JONES

CRD#: 250

MT DORA, FL

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".

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 3/6/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/2/2005

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: 11/28/2005

General Securities Representative Examination

Current Firm

CETERA INVESTMENT ADVISERS LLC

CRD#: 105644 / SEC#: 801-20406

RIA

Registered Investment Advisory firm - (1/13/1984 Approved)

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Contact information

Main Address

1450 American Lane 6th Floor, Suite 650, Schaumburg, IL 60173-2096

Mailing Address

Phone number

(310) 257-7880

Established

Firm type

Fiscal year end

# of Employees

7,705

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	584,487
AUM (Assets Under Management)	$ 163,792,814,520

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
12/13/2024	Cover Page	Report
09/26/2023	Cover Page	Report
11/18/2022	Cover Page	Report

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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Firm Stability Insights

Max R. Garrison

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CETERA WEALTH SERVICES, LLC

SUMMIT FINANCIAL GROUP INC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

COLLABORATIVE WEALTH

LPL FINANCIAL LLC

LPL FINANCIAL LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

CETERA INVESTMENT ADVISERS LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/6/2007

Series 63

Date: 12/2/2005

SIE

Date: 10/1/2018

Series 7

Date: 11/28/2005

Current Firm

CETERA INVESTMENT ADVISERS LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CETERA INVESTMENT ADVISERS LLC

TRUST BUT VERIFY

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