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Garth & Brown Investment Management, LLC CRD 151128
$15.3M regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
819 Broad Street, Chattanooga, TN 37402-2613 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| GA | RA | APPROVED | 2017-02-23 |
| TN | RA | APPROVED | 2016-11-30 |
Branch Locations
819 Broad Street, Chattanooga, TN 37402-2613 • 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 |
|---|---|---|---|---|
| Brown Associates, Inc. | Chattanooga | TN | 06/1976 | Present |
| Garth & Brown Investment Management, Llc | Chattanooga | TN | 11/2016 | Present |
1. E. BROWN FAMILY LP. 819 BROAD STREET, CHATTANOOGA TN 37402, NON-INVESTMENT RELATED, FAMILY PARTNERSHIP, MANANGING MEMBER STARTED SEPTEMBER, 2016, 1 HOURS/MONTH AND ABOUT 1 HOURS/MONTH DURING SECURITIES TRADING HOURS. REPRESENTATIVE FOR THE FAMILY PARTNERSHIP AS MANANGING MEMBER.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2016-11-22 |
| S63 | Uniform Securities Agent State Law Examination | 1981-08-28 |
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