Benjamin Ray Garrett

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2004 → 07/2021
  Nationwide Investment Services Corporation
  Columbus, OH
• 10/2021 → 11/2021
  Nylife Securities Llc.
  Dallas, TX
• 08/2021 → 11/2021
  New York Life Insurance Company
  Dallas, TX
• 11/2021 → 11/2022
  Independent Financial Group, Llc
  Richardson, TX
• 11/2022 → Present
  Lpl Financial Llc
  Dallas, TX

Previous Registrations

• 2022-01-03 → 2022-10-31
  Independent Financial Group, Llc
  Richardson, TX

Other Businesses

1) 11/21/2022: GARRETT BROTHERS FIREWOOD; Dallas, TX; Business Owner- firewood sales; Not inv. related; start date 11/7/2022; 0hrs/mo. 2) 3/21/2023: Diversified Brokerage Services: At Reported Business Location(s); Non-Variable Insurance; Inv. related; Start Date 3/1/2023; 2hrs/mo. during trading. 3) 9/27/2023: Red Oak Wealth Management, LLC; At Reported Business Location(s); Business Entity For Tax/Investment Purposes Only; Not inv. related; start date 11/7/2022; 160hrs/mo.; 8hrs during trading.

Exams

• S66 Uniform Combined State Law Examination
  2021-12-17
• S63 Uniform Securities Agent State Law Examination
  2006-05-05

Designations

• Certified Financial Planner