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GM

Garrett W. Moretz

Some features on this profile are disabled
CRD#: 4086791
GM

Professional summary

Garrett Wayne Moretz was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Garrett is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Garrett had worked at 8 firms, which includes LIFEMARK SECURITIES CORP., FIRST HEARTLAND CONSULTANTS INC., FIRST HEARTLAND CAPITAL INC., ALLEGIANT FINANCIAL ADVISORS LLC, ALLEGIANT SECURITIES L.L.C., SYNERGY INVESTMENT GROUP LLC, IDS LIFE INSURANCE COMPANY, AMERIPRISE FINANCIAL SERVICES LLC.

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

May 31, 2017 - September 5, 2025

LIFEMARK SECURITIES CORP.

RIA
CRD#: 16204
Mooresville, NC
Past

May 31, 2017 - August 8, 2025

LIFEMARK SECURITIES CORP.

BD
CRD#: 16204
Mooresville, NC
Past

January 4, 2010 - May 31, 2017

FIRST HEARTLAND CONSULTANTS, INC.

RIA
CRD#: 110377
MORRESVILLE, NC
Past

December 11, 2009 - May 31, 2017

FIRST HEARTLAND CAPITAL, INC.

BD
CRD#: 32460
MOORESVILLE, NC
Past

June 28, 2007 - December 16, 2009

ALLEGIANT FINANCIAL ADVISORS, LLC

RIA
CRD#: 141047
MIAMI BEACH, FL
Past

May 31, 2007 - December 16, 2009

ALLEGIANT SECURITIES L.L.C.

BD
CRD#: 133912
MIAMI, FL
Past

June 22, 2001 - December 31, 2006

SYNERGY INVESTMENT GROUP, LLC

BD
CRD#: 46035
MOORESVILLE, NC
Past

January 4, 2000 - July 3, 2001

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 4, 2000 - July 3, 2001

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 9/28/2007
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 1/10/2000
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/3/2000
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 10/18/2001
General Securities Principal Examination

Current Firm

LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.

CRD#: 16204 / SEC#: 801-68438, 8-33478

RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88

SEC notice filing (46 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

FIRM BROCHURE 2A (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
KALINOWSKI, ANDREW JOSEPHVP / BOARD MEMBER/SECRETARY263409
MICCICHE, VINCENT JRTREASURER/ FINOP/PFO/POO702149
PRISCO, JAMES JOSEPHCHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER2653402
PRISCO, JAMES JOSEPHPRESIDENT / BOARD MEMBER2653402
GEORGIEV, ALEXANDRE JR.CCO OF THE RIA / DIRECTOR OF OPERATIONS5307830

Regulatory assets under management

Total Number of Accounts2,021
AUM (Assets Under Management)$ 461,475,636

Disclosures

Regulatory Event2
Arbitration3

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.

Company Information

LIFEMARK SECURITIES CORP.

CRD#: 16204

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