Dale Garnett, Chief Financial Officer and Chief Compliance Officer of SMI Group, SMIG, SMI Capital Markets and SMI Advisors and President and CEO of SMI Advisors, has been a securities industry executive, investment banker and a broker since 1981. Mr. Garnett founded SMI Advisors. He joined SMI Group in 2015. Previously, he owned and led Ashton Garnett Securities, LLC from 2007 until 2013. Mr. Garnett grew the firm from one office to five branches and four states. Ashton Garnett also established a wholesale division that placed securities through independent broker-dealers throughout the United States.
Before co-founding Ashton Garnett, Mr. Garnett owned, or was employed in management, investment banking and brokerage positions by broker-dealers in Denver and the Pacific Northwest. His responsibilities at these firms included managing and supervising Series 7 brokers and other registered representatives, financial and operating reports, SEC, NASD and FINRA compliance and general business development.
Mr. Garnett received his bachelor’s degree in Accounting from Metropolitan State University of Denver. He holds Series 7 (general securities representative), 24 (general securities principal), 27 (financial and operations principal), 66 (investment advisor and state law), 79 (investment banking) and 99 (operations professional) U.S. securities licenses. Mr. Garnett is a U.S. citizen.