Garbacz Group was formed as sole proprietor in 1986 and incorporated as family owned investment securities broker/dealer and registered Investment advisor in 1990 and, immediately thereafter became a member of SIPC and correspondent of Pershing; founded 1939 to provide clients with fast efficient trade execution and grown to become an innovative global financial business with offices around the world..
2003 Pershing was acquired by the bank of New York Mellon; founded1784 by Alexander Hamilton and is the longest lasting financial institution in the United States.
BNY Mellon’s Pershing has approximately $1.7 trillion in global assets. Net capital over $2.0 billion, well above the minimum requirement.-
About BNY Mellon
- 1.9 Trillion under management
- $33.3 trillion under custody or administration
- Offices in 35 countries serving customers in more than 100 markets worldwide. Tier 1 capital ratio of 12.7% Q4 2017.(10% usually sought by investors.)
About BNY Mellon’s Lockwood Advisors
- More than $7.9 billion in advisory assets under management
- Industry-leading provider of portfolio management and research solutions
- Managed accounts pioneer founded in 1995
- Providing advisory solutions for investors exclusively through financial organizations and financial advisors
We Are Family Owned.
President, Chief Financial Officer, Treasurer, Compliance Officer
Dan is a Licensed General Securities Representative and has been with The Garbacz Group, Inc. since 2009. Previously, he worked as a retirement plan specialist (OppenheimerFunds), annuity sales specialist (Transamerica Capital), and worked with high net, worth active stock/option traders and branches in St. Louis and Chicago (Charles Schwab). These experiences have provided Dan acumen in dealing with a wide variety of clients and their financial needs and goals.
Dan graduated from the University of Missouri-Columbia with a Bachelors of Science in Interdisciplinary Studies in 1997. He is a Chartered Retirement Plan Specialist (CRPS), which he earned in 2003 from The College for Financial Planning.
He holds the following registrations: Series 4, 7, 9, 10, 24, 28, 63 and 66.
Dan is a good listener and empathetic to clients’ needs. He will work with his attentive staff and variety of resources to find a solution to fit your financial needs and goals.
Chartered Financial Consultant
Joe graduated from SIU, Carbondale with a degree in Business Marketing in 1967. He was hired via campus interview as a salesman by Burroughs Corp, a manufacturer of business machines and computers.
Joe resigned from Burroughs in 1978 where he was a branch manager with 11 years seniority including two years of military service in order to start an insurance business to provide family income in event of death or disability of the breadwinner.
In 1983, Joe became a chartered life underwriter (CLU) and Chartered Financial Consultant (CHFC) and provided estate, business succession, and retirement planning to business owners which included sale, installation and funding company pension and profit sharing plans.
He holds the following registrations: Series 1, 4, 7, 24, 27, 53 & 63.
Joseph Garbacz Investments, sole proprietor was formed in 1986 and became incorporated as an independent broker-dealer and registered investment advisor in 1990.
Laura M. Marsh
Laura holds a Series 99 Operations Manager License and provides customer service with a smile! She is the main point of contact for all your needs and is always eager to assist.
Laura communicates with clients, administers their accounts to include monitor and acknowledge deposits, withdrawals, asset transfers, gifting transactions. Laura also provides reports to include cost basis, gain loss and Portfolio performance.