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449 West Foothill Blvd Suite 216, Glendora, CA 91741 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2025-09-22 |
Branch Locations
449 West Foothill Blvd Suite 216, Glendora, CA 91741 • United States
1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Steve Garrett And Associates,Inc. | Monrovia | CA | 11/1990 | Present |
| Lpl Financial, Llc | Monrovia | CA | 03/1993 | Present |
1. 2/17/2010 - REGISTERED INVESTMENT ADVISOR - STEVE GARRETT AND ASSOCIATES - RIA - (FP) - INV REL - MONROVIA, CA. 2. 6/6/2011 - Business Owner - RAINMAKER CONSULTING NETWORK - CONSULTING, TRAINING, SEMINAR AND PUBLIC SPEAKING ON THE TOPICS OF LEADERSHIP AND SALES BOARD GOVERNANCE. - 10% OF TIME SPENT - NOT INV REL - AT REPORTED BUSINESS LOCATION(S) 3. 3/14/2013: STEVE GARRETT AND ASSOCIATES, INC. - DBA for LPL Business (entity for LPL business) - INV REL - At Reported Business Location(s) - TIME SPENT 75% 4. 10/14/2019 - Steve Garrett - Investment related - At reported business location(s) - Author - start date:06/02/2008 - 20 hrs/mo - 0 hrs during trading. m 5. 08/03/2022 - Steve Garrett and Associates, Inc. - Investment Related - At Reported Business Location(s) - FINRA Mediator - Start Date - 02/01/2012 - 0 Hours Per Month/0 Hours During Securities Trading.
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 1981-02-02 |
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