Douglas Stephen Garban

Employer firm

Spc CRD 110692

$6.10B regulatory AUM 4,483 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

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

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

Current Employers

Employment History

• 11/2016 → 01/2018
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  State College, PA
• 05/2005 → 11/2016
  Umemployed
  State College, PA
• 05/2017 → 01/2018
  Bank Of America, N.A.
  State College, PA
• 02/2018 → 03/2018
  Regal Investment Advisors
  State College, PA
• 02/2018 → 03/2018
  Regulus Advisors Llc
  State College, PA
• 03/2018 → Present
  Sigma Financial Corporation
  Ann Arbor, MI
• 03/2018 → Present
  Sigma Planning Corporation
  Ann Arbor, MI

Previous Registrations

• 2018-01-18 → 2018-04-06
  Regal Investment Advisors Llc
  State College, PA
  Kentwood, MI
• 2017-01-12 → 2018-01-31
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  State College, PA

Other Businesses

1. As a licensed insurance agent, I am appointed with various insurance companies. 2. dba - Garban Wealth Management, State College, PA. Offers financial services. Start date: 11/12/18. Investment related: Y

Exams

• S63 Uniform Securities Agent State Law Examination
  2017-02-02
• S65 Uniform Investment Adviser Law Examination
  2016-09-22