Donald Garton has been Managing Partner, Chief Compliance Officer of Garton and Associates Financial Advisors since December 2004, is a control person of the firm and directly owns 75% or more of it. Donald Garton holds a BS from the University of Missouri. Donald Garton studied M.Div. at Louisville Presbyterian Theological Seminary.
Garton and Associates Financial Advisors LLC is a Louisville, KY firm with $215M under management, 369 clients and 5 advisers across 2 offices, as of its August 2026 filing.
Don Garton is Managing Partner of Advantage Investment Management, based in Louisville, Kentucky. He is the founding partner of the firm and has over 25 years of experience as a financial advisor. He serves as a board member of the Kentucky Social Welfare Foundation and chairs the mid-Kentucky Presbytery Finance Committee.
Donald Garton’s longest registration is the current one, 15 years at Garton and Associates Financial Advisors since 2010. Before joining Garton and Associates Financial Advisors in 2010, Donald Garton was registered through Jefferson Pilot Securities Corp and American Express Financial Advisors, Inc.
- Benchmark Advisory Services, LLC– · 1 yearLouisville, KY · Adviser representative · Firm CRD 305662
- – present · 15 yearsLouisville, KY · Adviser representative · Firm CRD 146493
- Jefferson Pilot Securities Corp– · 1 yearLouisville, KY · Adviser representative · Firm CRD 3870
- American Express Financial Advisors, Inc.– · under a yearLouisville, KY · Adviser representative · Firm CRD 6363
Professional designations
Listed by Garton and Associates Financial Advisors
- CFP®
- ChFC®
- CRPs®
Investment adviser representative registrations
Donald Garton is registered as an investment adviser representative in Kentucky, since October 2010.
- KentuckySince 25 October 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 6TO | Investment Company Products/Variable Contracts Representative Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 23 August 1999 |
| Series 63 | Uniform Securities Agent State Law Examination | 9 April 1991 |
| Series 7 | General Securities Representative Examination | 5 April 1991 |
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Donald Lee Garton
- CRD
- 2125313
- Firm
- Garton and Associates Financial Advisors · CRD 146493
- Role
- Managing Partner, Chief Compliance Officer
- Office
- 2319 LIME KILN LANE, SUITE A, Louisville, KY 40222
- Registration
- Investment adviser registration
- In the industry since
- April 1991
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- aim-rps.com
Where does Donald Garton work?
Donald Garton has been Managing Partner, Chief Compliance Officer of Garton and Associates Financial Advisors LLC since December 2004, and is a control person of the firm.
Is Donald Garton a financial advisor?
Yes. Donald Garton has a current investment-adviser registration in Kentucky, through Garton and Associates Financial Advisors since October 2010.
How many years of experience does Donald Garton have?
Donald Garton has 35 years in the financial industry, since April 1991, across 4 adviser firms.
What exams has Donald Garton passed?
Donald Garton has passed 4 licensing exams: the Series 7, Series 63, Series 24 and Series 6TO. The earliest, the Series 7, was passed in April 1991. FINRA credited Donald Garton with the SIE, which began in October 2018.
Where did Donald Garton work before Garton and Associates Financial Advisors?
Before Garton and Associates Financial Advisors, Donald Garton was registered through Jefferson Pilot Securities Corp, June 2004 to October 2005; American Express Financial Advisors, Inc., February 2004 to June 2004.
Where is Donald Garton based?
Donald Garton’s registered office is in Louisville, KY.
Is Donald Garton registered with FINRA?
No. Donald Garton has no current broker registration.
Is Donald Garton a CFP?
Garton and Associates Financial Advisors lists Donald Garton with the CFP credential (“CFP®”) on its website. CFP Board confirms certification status.
How can I verify Donald Garton’s record?
Search CRD 2125313 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Donald Garton’s full registration record.
