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Alison Adrianna Garter

Edelman Financial Engines

Henric, VA

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Current Employers
Edelman Financial Engines

3945 Freedom Circle, Santa Clara, CA 95054 • United States

Current Registrations

AuthorityCategoryStatusDate
VA RA APPROVED 2022-11-11
  • VA RA
    APPROVED
    Since 2022-11-11

Branch Locations

200 Westgate Pkwy Suite 202, Henric, VA 23233 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Ef Legacy Securities, Llc Henrico VA 05/2015 10/2018
Financial Engines Advisors L.L.C. Santa Clara CA 05/2015 10/2024
Edelman Financial Engines Santa Clara CA 10/2024 Present
  • 05/2015 → 10/2018
    Ef Legacy Securities, Llc
    Henrico, VA
  • 05/2015 → 10/2024
    Financial Engines Advisors L.L.C.
    Santa Clara, CA
  • 10/2024 → Present
    Edelman Financial Engines
    Santa Clara, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-11-11
S63 Uniform Securities Agent State Law Examination 2018-01-29
  • S65 Uniform Investment Adviser Law Examination
    2022-11-11
  • S63 Uniform Securities Agent State Law Examination
    2018-01-29

View on SEC IAPD

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Other Offices

LPL FINANCIAL LLC · HENRICO, VA
EDELMAN FINANCIAL ENGINES · HENRICO, VA
EDELMAN FINANCIAL ENGINES · HENRICO, VA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RICHMOND, VA
FIRST CITIZENS INVESTOR SERVICES, INC. · Richmond, VA
WELLS FARGO CLEARING SERVICES, LLC · RICHMOND, VA
TRUIST ADVISORY SERVICES, INC. · RICHMOND, VA
EDWARD JONES · RICHMOND, VA

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