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Marcia Lynne Garrett

CRD# 1073496·Registered 1984 - 2017
Previously Registered: Being a previously registered professional could mean that Marcia is no longer operating under the supervision of the SEC or FINRA. That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Professional Summary

Marcia Lynne Garrett, who also goes by Marcia Lynne Comer, Marcia Lynne Schapiro, was a registered financial advisor. Marcia was a previously registered financial professional and started their career in finance 1984 - 2017. Marcia had worked at 15 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 4, Series 27, Series 53 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Marcia Lynne Comer, Marcia Lynne Schapiro

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.

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Years of Experience

42 years in the financial services industry

Current & Past Employments

PENSIONMARK SECURITIES, LLC·CRD# 283952
BD
Denver, CO
September 1, 2017 - December 12, 2017
CAPFINANCIAL SECURITIES, LLC.·CRD# 126291
BD
Denver, CO
October 9, 2015 - September 1, 2017
WORLD INVESTMENT ADVISORS, LLC·CRD# 208512
RIA
Denver, CO
September 17, 2015 - December 12, 2017
FINANCIAL TELESIS INC·CRD# 31012
RIA
Denver, CO
May 14, 2014 - October 23, 2014
FINANCIAL TELESIS INC·CRD# 31012
BD
Denver, CO
May 13, 2014 - October 23, 2014
FINTEGRA, LLC·CRD# 16741
BD
Greenwood Village, CO
March 6, 2012 - September 24, 2013
FINTEGRA, LLC·CRD# 16741
RIA
Greenwood Village, CO
February 6, 2012 - September 24, 2013
MILKIE/FERGUSON INVESTMENTS, INC.·CRD# 17606
RIA
Greenwood Village, CO
February 4, 2009 - June 28, 2010
MILKIE/FERGUSON INVESTMENTS, INC.·CRD# 17606
BD
Greenwood Village, CO
February 4, 2009 - June 28, 2010
AFS BROKERAGE, INC.·CRD# 25924
RIA
Highlands Ranch, CO
April 19, 2007 - November 1, 2007
AFS BROKERAGE, INC.·CRD# 25924
BD
Laurel, NE
May 2, 2000 - November 1, 2007
THE CHAPMAN CO.·CRD# 19178
BD
Columbia, MD
August 21, 1998 - October 27, 1999
FALCON INVESTMENT CORP.·CRD# 42231
BD
Denver, CO
April 14, 1998 - July 30, 1998
D.E. FREY & COMPANY, INC.·CRD# 23595
BD
Denver, CO
January 20, 1998 - April 2, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.·CRD# 145
BD
Radnor, PA
February 5, 1997 - September 5, 1997
PROTECTED INVESTORS OF AMERICA·CRD# 6082
BD
San Francisco, CA
October 19, 1987 - December 31, 1995
UR FINANCIAL, INC.·CRD# 10509
BD
May 16, 1986 - November 14, 1986
EQUITEC SECURITIES COMPANY·CRD# 6463
BD
August 28, 1984 - April 21, 1986
INTEGRATED RESOURCES EQUITY CORPORATION·CRD# 6403
BD
May 25, 1984 - August 20, 1984

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Current Firm

PS
PENSIONMARK SECURITIES, LLC

PENSIONMARK SECURITIES, LLC | PFG SECURITIES, LLC. | PENSIONMARK SECURITIES, LLC.

CRD#: 283952 / SEC#: 8-69773
BD
Terminated by SEC on 01/04/2026

Contact Information

Established

Delaware since 04/22/2016

Firm Type

Limited Liability Company

Fiscal Year End

December

Firm Size

Small

Documents

Direct owners and executive officers

NamePositionCRD#
WORLD INVESTMENT ADVISORS, LLCOWNER208512
TOOLE, BARRY PCCO3142901

Disclosures

Regulatory Event

1

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Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Feb 2007About the Series 66 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed May 1984About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Dec 2017About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1984About the Series 7 exam

Series 4 — Registered Options Principal Examination

Passed Apr 1991About the Series 4 exam

Series 27 — Financial and Operations Principal Examination

Passed Aug 1990About the Series 27 exam

Series 53 — Municipal Securities Principal Examination

Passed Mar 1989About the Series 53 exam

Series 24 — General Securities Principal Examination

Passed Jun 1984About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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