• Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
ROSS RICHARD GIVENS
CRD#: 5485177
IA
Investment Adviser
B
Previous Broker
G CAPITAL ASSET MANAGEMENTCRD#: 332326 365 COMMERCIAL PARK DR
UNIT B
FAIRHOPE, AL 36532
Registration History
20082010201220142016201820202022202420264 FIRMS2008 - 2008 (<1 year)2 FIRMS2014 - 2015 (<1 year)IAG CAPITAL ASSET MANAGEMENT (CRD# 332326)2024 - Present (<1 year)BREGAL SECURITIES, INC. (CRD# 7297)2012 - 2013 (<1 year)BGAR WOOD SECURITIES, LLC (CRD# 138033)2010 - 2011 (<1 year)IAREGAL ADVISORY SERVICES, INC. (CRD# 123842)2013 - 2013 (<1 year)
Disclosure(s)
View By:
3/20/2015
Financial
Final
License(s)

State Registrations

IA
Alabama 9/24/2024

Current Registration(s)
IA
G CAPITAL ASSET MANAGEMENT (CRD#:332326)
365 COMMERCIAL PARK DR UNIT B, FAIRHOPE, AL 36532
Registered with this firm since 9/24/2024

Previous Registration(s)
th hidden textth hidden textNameLocation
IA
07/22/2014 - 05/12/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
B
07/31/2014 - 05/12/2015 J.P. MORGAN SECURITIES LLC (CRD#:79) DALLAS, TX
IA
02/14/2013 - 05/21/2013 REGAL ADVISORY SERVICES, INC. (CRD#:123842) MOBILE, AL
B
08/17/2012 - 05/21/2013 REGAL SECURITIES, INC. (CRD#:7297) GLENVIEW, IL
B
11/15/2010 - 10/17/2011 GAR WOOD SECURITIES, LLC (CRD#:138033) MOBILE, AL
IA
07/17/2008 - 11/12/2008 FSC SECURITIES CORPORATION (CRD#:7461) ROSWELL, GA
B
07/17/2008 - 11/12/2008 FSC SECURITIES CORPORATION (CRD#:7461) ROSWELL, GA
IA
05/28/2008 - 07/17/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BIRMINGHAM, AL
B
04/16/2008 - 07/17/2008 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) BIRMINGHAM, AL
For additional information about investment advisers or broker-dealers, please visit
B
Broker
IA
Investment Adviser
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.