Marcia A. Garren
Professional summary
Being a previously registered professional could mean that this person 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.
Marcia A Garren, who also goes by Marcia Anne Garren, Marcie Anne Garren, was a registered financial professional .
Marcia is a previously registered financial professional and started their career in finance in 1998. Marcia had worked at 9 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2013 - November 16, 2015
FIFTH THIRD SECURITIES, INC.
April 5, 2013 - November 16, 2015
FIFTH THIRD SECURITIES, INC.
June 1, 2009 - April 23, 2013
MORGAN STANLEY
June 1, 2009 - April 23, 2013
MORGAN STANLEY
March 4, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
March 3, 2009 - June 1, 2009
MORGAN STANLEY & CO. LLC
June 12, 2008 - February 17, 2009
GROVE POINT INVESTMENTS, LLC
June 11, 2008 - February 17, 2009
GROVE POINT INVESTMENTS, LLC
July 20, 2006 - April 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 19, 2006 - April 30, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 2002 - July 17, 2006
MORGAN STANLEY DW INC.
June 6, 2002 - July 17, 2006
MORGAN STANLEY DW INC.
October 10, 2000 - September 27, 2001
LEHMAN BROTHERS INC.
July 1, 1998 - October 19, 2000
COWEN AND COMPANY
April 21, 1998 - July 1, 1998
FINANCIAL SQUARE PARTNERS
Primary Firm SEC Registration
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FIFTH THIRD SECURITIES, INC.
CRD#: 628 / SEC#: 801-63623, 8-2428
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIFTH THIRD BANK, NATIONAL ASSOCIATION | OWNER | |
| CORSARIE, ROBERT ALBERT | DIRECTOR, HEAD OF RETAIL BROKERAGE | 2213136 |
| JACOBS, JARRETT ANDREW | DIRECTOR, BD CHIEF COMPLIANCE OFFICER/RIA CHIEF COMPLIANCE OFFICER | 3190249 |
| JOHNSON MOBLEY, SHANNON | DIRECTOR, REGIONAL INVESTMENT MANAGER | 2583704 |
| KELLY, GINGER MICHELLE | DIRECTOR, CHIEF ADMINISTRATIVE OFFICER - RETAIL | 2357692 |
| LUDWICK, JAMES PAUL | DIRECTOR, EXECUTIVE DIRECTOR OF INSTITUTIONAL BUSINESS | 4286771 |
| LYONS, TIMOTHY | DIRECTOR, MANAGING DIRECTOR-TRADING | 2544688 |
| MARCUS, ROBERT FRANKLIN | DIRECTOR, HEAD OF CAPITAL MARKETS | 2512810 |
| OVERMANN, JUSTIN MICHAEL | DIRECTOR, PRINCIPAL OPERATIONS OFFICER | 4419793 |
| STRATMOEN, CHRISTOPHER SCOTT | DIRECTOR, PRINCIPAL FINANCIAL OFFICER | 5873893 |
Regulatory assets under management
| Total Number of Accounts | 43,067 |
| AUM (Assets Under Management) | $ 9,127,646,064 |
Disclosures
| Regulatory Event | 38 |
| Arbitration | 19 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/20/2025 | ||
| 08/26/2024 | ||
| 10/20/2023 |
Red Flags
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.
