Unclaimed Profile

Stephen Earl Garrett

STEVE GARRETT AND ASSOCIATES,INC.·MONROVIA, California

SIE, Series 1, Series 7TO, Series 8, Series 9, Series 10, Series 15, Series 6330 years registeredSTEVE GARRETT AND ASSOCIATES,INC.

2003 S MYRTLE AVENUE, MONROVIA, CA 91016CRD# 218223Firm CRD# 126791

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Stephen Earl Garrett · MONROVIA, CA

Registration

CRD #218223 · STEVE GARRETT AND ASSOCIATES,INC. · 30 years registered

Brand Profile

Not yet started

Career History

STEVE GARRETT AND ASSOCIATES,INC.

Jan 2018 – present

STEVE GARRETT AND ASSOCIATES,INC.

Oct 2003 – Dec 2017

MONROVIA, CA

LPL FINANCIAL LLC

Jun 1996 – Oct 2023

GLENDORA, CA

Registrations & Exams

FINRA examinations passed

SIE

Series 1

Series 7TO

Series 8

Series 9

Series 10

Series 15

Series 63

Registration record

First registered · June 6, 1996

Years registered · 30

Disclosure History

2017Customer Dispute·Settled

1987Customer Dispute·Settled

2 disclosure events on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

STEVE GARRETT AND ASSOCIATES,INC.

CRD 126791 · SEC 801-112386

AUM

$25M

Regulatory assets under management

Employees

75 client accounts

Services offered by STEVE GARRETT AND ASSOCIATES,INC.

Per Form ADV

Market timing services

Other

View all advisors at STEVE GARRETT AND ASSOCIATES,INC. →

Introduction

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Frequently Asked Questions

What services does Stephen Earl Garrett offer?

Stephen Earl Garrett is a registered financial advisor in MONROVIA, California. Contact their office for details on services offered.

What are Stephen Earl Garrett's credentials?

Stephen Earl Garrett is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Stephen Earl Garrett located?

Stephen Earl Garrett is based in MONROVIA, California, working with STEVE GARRETT AND ASSOCIATES,INC.. Their office serves clients in the MONROVIA metropolitan area and surrounding communities.

How does Stephen Earl Garrett charge for services?

Stephen Earl Garrett's firm is compensated through hourly charges. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is STEVE GARRETT AND ASSOCIATES,INC.?

STEVE GARRETT AND ASSOCIATES,INC. has approximately 3 employees and manages $25M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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