GT
Garet L. Tarvin
ALPHA INITIATIVE
Palo Cedro, CA 96073
Some features on this profile are disabled
CRD#: 5209712
GT
Professional summary
Garet Lee Tarvin is a registered financial advisor currently at ALPHA INITIATIVE located in Palo Cedro, California.
Garet is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Garet has worked at 2 firms and has passed the Series 65, Series 66 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.
1. NAME OF THE OTHER BUSINESS: WOT PROPERTIES LLC BUSINESS IS INVESTMENT-RELATED? YES, REAL ESTATE INVESTMENT ADDRESS: 21610 HIDDEN BERYL LN PALO CEDRO CA 96073 NATURE OF BUSINESS: HOLDS A PORTFOLIO OF INCOME PROPERTIES POSITION/TITLE: MEMBER START DATE OF YOUR RELATIONSHIP: 2/24/2011 APPROXIMATE NUMBER OF HOURS/MONTH DEVOTED TO THE OTHER BUSINESS: <5 NUMBER OF HOURS YOU DEVOTE TO THE OTHER BUSINESS DURING SECURITIES TRADING HOURS: 0 BRIEFLY DESCRIBE YOUR DUTIES RELATING TO THE OTHER BUSINESS: ASSES POTENTIAL ACQUISITIONS/LIQUIDATIONS, PAY INSURANCE PREMIUMS AND BASIC BANKING TASKS (OUTSIDE OF THE SCOPE OF OUR PROPERTY MANAGER) AND YEAR END ACCOUNTING. 2. Name of the other business; City of Redding, Whether the business is investment-related; Not Investment Related, The address of the other business; 3611 Avtech Pkwy, Redding, CA 96002, The nature of the other business; Public Electric Utility, Your position; Utility Analyst, Title, or relationship with the other business; The start date of your relationship; Oct 17, 2022, The approximate number of hours/month you devote to the other business; 40, The number of hours you devote to the other business during securities trading hours; 40, Briefly describe your duties relating to the other business; I provide analytical work for a Public Electric Utility - Redding Electric Utility. I assist with counterparty risk management, budgets and other analytical work as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Garet Lee Tarvin'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®
NoneExperience
Current
January 27, 2020 - Present
ALPHA INITIATIVE
Office #1: 10687 Swede Creek Road, Palo Cedro, CA 96073RIA
CRD#: 299242
Palo Cedro, CA
Past
October 26, 2006 - May 18, 2007
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
WALNUT CREEK, CA
Past
October 16, 2006 - May 18, 2007
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
WALNUT CREEK, CA
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(1/27/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
Current Firm
AI
ALPHA INITIATIVE
ALPHA INITIATIVE | ALPHA INITIATIVE, INC.
CRD#: 299242 / SEC#:
California
Registered Investment Advisory firm - (1/27/2020 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
10687 Swede Creek Road, Palo Cedro, CA 96073
Mailing Address
P.o. Box 770, Palo Cedro, CA 96073
Phone number
(530) 953-2121
Established
Firm type
Fiscal year end
# of Employees
2
Regulatory assets under management
| Total Number of Accounts | 50 |
| AUM (Assets Under Management) | $ 7,302,919 |
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.
Company Information
ALPHA INITIATIVE
CRD#: 299242Palo Cedro, CA 96073TRUST BUT VERIFY
Monitor Garet Tarvin
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
