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Welcome to the Securities Supervision page on the world wide web.

This purpose of this site is to provide guidance, opinions and information on the topic of supervising people involved in the business of providing financial services to the investing public.

cropped-3c00e5e1.jpgMr.The information, guidance and opinions are derived from Steve Garrett. This information is the product of over four decades as an active participant in the business of providing financial services.

Garrett joined Merrill Lynch in December of 1972. He served as a financial consultant in the Pasadena, Los Angeles, and San Marino office. Steve was the Resident Manager in the San Marino, California office from 1983 to 1987.

Steve established Steve Garrett and Associates, Inc. a Registered Investment Advisor and investment brokerage firm in 1990 which invests and manages money for individuals and small corporate retirement plans. On several occasions since 1990 Steve has been called upon to act as an expert witness before FINRA arbitration panels and in both State and Federal Court.