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Detailed Report
DAVID MAX GARRISON
DAVE GARRISON
CRD#: 1803012
IA
Investment Adviser
B
Broker
CAPITAL INVESTMENT MANAGEMENT, INCCRD#: 113917 740 NW BLUE PARKWAY
SUITE 301
LEE'S SUMMIT, MO 64086
CAMBRIDGE INVESTMENT RESEARCH, INC.CRD#: 39543 608 SW 3rd Street
Lees Summit, MO 64063
Registration History
19901995200020052010201520202025IACAPITAL INVESTMENT MANAGEMENT, INC (CRD# 113917)1998 - Present (26 years)BCAMBRIDGE INVESTMENT RESEARCH,... (CRD# 39543)2011 - Present (13 years)BSECURITIES AMERICA, INC. (CRD# 10205)1997 - 2011 (14 years)BVSR FINANCIAL SERVICES, INC. (CRD# 14503)1993 - 1996 (3 years)BAMERICAN EXPRESS FINANCIAL ADV... (CRD# 6363)1988 - 1993 (5 years)IAECUSA, LLC (CRD# 157711)2012 - 2012 (<1 year)IACAMBRIDGE INVESTMENT RESEARCH ... (CRD# 134139)2011 - 2011 (<1 year)
Disclosure(s)
View By:
4/8/1993
Employment Separation After Allegations
7/1/1992
Customer Dispute
Settled
License(s)

State Registrations

B
Arizona 5/16/2011
B
North Carolina 1/7/2022
B
Arkansas 5/16/2011
B
Oklahoma 5/16/2011
B
Florida 5/16/2011
B
Oregon 2/1/2022
B
Hawaii 5/16/2011
B
Pennsylvania 1/5/2021
B
Iowa 5/16/2011
B
South Carolina 3/6/2014
IA
Kansas 1/21/1999
B
Tennessee 9/24/2020
B
Kansas 5/16/2011
B
Texas 5/16/2011
IA
Missouri 6/8/1998
IA
Texas 5/12/2017
B
Missouri 5/16/2011
B
Wyoming 3/9/2017
B
New Jersey 8/19/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
CAPITAL INVESTMENT MANAGEMENT, INC (CRD#:113917)
740 NW BLUE PARKWAY SUITE 301, LEE'S SUMMIT, MO 64086
Registered with this firm since 6/8/1998
B
CAMBRIDGE INVESTMENT RESEARCH, INC. (CRD#:39543)
608 SW 3rd Street, Lees Summit, MO 64063
Registered with this firm since 5/16/2011
Previous Registration(s)
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IA
 04/04/2012 - 10/09/2012 ECUSA, LLC (CRD#:157711) LEE'S SUMMIT, MO
IA
 05/26/2011 - 10/21/2011 CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. (CRD#:134139) LEES SUMMIT, MO
B
 01/21/1997 - 05/16/2011 SECURITIES AMERICA, INC. (CRD#:10205) LEES SUMMIT, MO
B
 04/20/1993 - 12/31/1996 VSR FINANCIAL SERVICES, INC. (CRD#:14503) OVERLAND PARK, KS
B
 02/23/1988 - 04/08/1993 AMERICAN EXPRESS FINANCIAL ADVISORS INC. (CRD#:6363) MINNEAPOLIS, MN
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.