Stephen Earl Garrett

Employer firm

Steve Garrett And Associates,Inc. CRD 126791

$44.0M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Periodicals / newsletters
• EXPERT WITNESS

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

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

Current Employers

Employment History

• 11/1990 → Present
  Steve Garrett And Associates,Inc.
  Monrovia, CA
• 03/1993 → Present
  Lpl Financial, Llc
  Monrovia, CA

Previous Registrations

• 1996-06-06 → 2023-10-25
  Lpl Financial Llc
  Glendora, CA
  Pasadena, CA
  Pasadena, CA
• 2003-10-02 → 2017-12-31
  Steve Garrett And Associates,Inc.
  Monrovia, CA

Other Businesses

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.

Exams

• S63 Uniform Securities Agent State Law Examination
  1981-02-02