James M. Garber

PROCESS DESIGN CAPITAL MANAGEMENT LLC

Phoenix, AZ 85020

Some features on this profile are disabled

CRD#: 720937

Professional summary

James Michael Garber is a registered financial advisor currently at PROCESS DESIGN CAPITAL MANAGEMENT LLC located in Phoenix, Arizona.

James is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. James has worked at 8 firms and has passed the Series 65, Series 63, Series 31, Series 7 and Series 5 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) FINRA Arbitrator; Bleeker Consulting, LLC; Investment related: No; Location: 1430 E. Missouri Avenue; Description of the business: Expert witness to the legal profession; Responsibilities Duties: Rendering opinions; Start date with business: 2020-01-01; Hours devoted to business outside trading hours: 10; Percentage of total yearly compensation expected to be derived from the business: 20;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Garber'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

May 20, 2014 - Present

PROCESS DESIGN CAPITAL MANAGEMENT LLC

Office #1: 7301 N. 16th St #102, Phoenix, AZ 85020

RIA

CRD#: 170789

Phoenix, AZ

Past

August 17, 2012 - July 22, 2014

VORA WEALTH MANAGEMENT, PLLC

RIA

CRD#: 153559

SCOTTSDALE, AZ

Past

July 1, 2003 - July 31, 2012

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SCOTTSDALE, AZ

Past

July 1, 2003 - July 31, 2012

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SCOTTSDALE, AZ

Past

April 17, 2002 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

RIA

CRD#: 7471

SCOTTSDALE, AZ

Past

November 22, 1995 - July 1, 2003

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

Past

October 1, 1993 - November 29, 1995

RAUSCHER PIERCE REFSNES, INC.

CRD#: 6663

DALLAS, TX

Past

November 23, 1988 - September 28, 1993

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

Past

June 26, 1986 - March 27, 1987

E. F. HUTTON & COMPANY INC

CRD#: 235

Past

December 25, 1980 - April 4, 1984

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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

Arizona
(5/20/2014)

IAR

California
(6/10/2022)

IAR

Minnesota
(5/15/2018)

IAR

Texas
(7/10/2014)

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 65

Date: 2/6/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/18/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 31

Date: 5/6/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/21/1986

General Securities Representative Examination

General Industry/Product Exam

Series 5

Date: 12/12/1981

Interest Rate Options Examination

Current Firm

PROCESS DESIGN CAPITAL MANAGEMENT LLC

GARBER, JAMES M | PROCESS DESIGN CAPITAL MANAGEMENT LLC

CRD#: 170789 / SEC#:

Arizona

Registered Investment Advisory firm - (5/20/2014 Approved)

California

Registered Investment Advisory firm - (6/10/2022 Approved)

Minnesota

Registered Investment Advisory firm - (4/19/2017 Approved)

Texas

Registered Investment Advisory firm - (7/10/2014 Conditional Restricted)

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

7301 N. 16th St #102, Phoenix, AZ 85020

Mailing Address

Phone number

(480) 386-0491

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	89
AUM (Assets Under Management)	$ 92,000,000

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.

Similar Advisors

Joseph Di Vito

RBC CAPITAL MARKETS, LLC

IAR

Scottsdale, AZ

Luke Kacer

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Tucson, AZ

Timothy Hughes

AMERIPRISE FINANCIAL SERVICES, LLC

IAR

Scottsdale, AZ

We're Here To Help

Advisor Monitoring

Firm Stability Insights

James M. Garber

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Michael Garber's CRS (Customer Relationship Summary).

Certified licenses

Experience

VORA WEALTH MANAGEMENT, PLLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

RAUSCHER PIERCE REFSNES, INC.

KIDDER, PEABODY & CO. INCORPORATED

E. F. HUTTON & COMPANY INC

UBS FINANCIAL SERVICES INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 2/6/1992

Series 63

Date: 6/18/1986

Series 31

Date: 5/6/1999

Series 7

Date: 6/21/1986

Series 5

Date: 12/12/1981

Current Firm

PROCESS DESIGN CAPITAL MANAGEMENT LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PROCESS DESIGN CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

Similar Advisors