James Michael Garber
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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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Years of Experience
45 years in the financial services industry
Current & Past Employments
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Current Firm
GARBER, JAMES M | PROCESS DESIGN CAPITAL MANAGEMENT LLC
Contact Information
Main Address
7301 N. 16th St #102, Phoenix, AZ 85020Phone Number
(480) 386-0491# of Employees
4Documents
Regulatory Assets Under Management
Total Number of Accounts
79AUM (Assets Under Management)
$78,000,000Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(5/20/2014)
(6/10/2022)
(5/15/2018)
(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
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 5 — Interest Rate Options Examination
Passed Dec 1981Similar Advisors
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CRS (Client Relationship Summary) - RIA
Click below to view James Michael Garber's CRS (Customer Relationship Summary).
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