Garron M. Penland
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.
Garron Marcus Penland II, who also goes by Garron Marcus Penland Jr, Mark Penland II, was a registered financial professional .
Garron is a previously registered financial professional and started their career in finance in 2000. Garron had worked at 9 firms and has passed the Series 66, SIE 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
September 23, 2011 - March 24, 2016
EQUITY SERVICES, INC.
September 21, 2011 - March 24, 2016
EQUITY SERVICES, INC.
June 30, 2011 - October 5, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 14, 2010 - June 29, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
December 2, 2005 - July 8, 2010
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
November 11, 2005 - October 5, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 1, 2005 - November 15, 2005
USALLIANZ SECURITIES, INC.
December 7, 2004 - November 15, 2005
USALLIANZ SECURITIES, INC.
March 29, 2004 - November 17, 2004
W&S BROKERAGE SERVICES, INC.
April 30, 2003 - December 3, 2003
W&S BROKERAGE SERVICES, INC.
September 25, 2002 - February 3, 2003
CROWN CAPITAL SECURITIES, L.P.
April 25, 2002 - June 17, 2002
METROPOLITAN LIFE INSURANCE COMPANY
April 25, 2002 - December 10, 2002
MSI FINANCIAL SERVICES, INC.
February 1, 2001 - January 28, 2002
NEW ENGLAND SECURITIES
March 8, 2000 - February 6, 2001
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
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
EQUITY SERVICES, INC.
CRD#: 265 / SEC#: 801-41722, 8-14286
Contact information
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NLV FINANCIAL CORPORATION | SHAREHOLDER | |
| ASSADI, MEHRAN | DIRECTOR & CHAIRMAN OF THE BOARD | 5270638 |
| AZARSHAHI, ATAOLLAH | PRESIDENT & CEO | 7270581 |
| COTTON, ROBERT EARL | DIRECTOR | 3085405 |
| DUNNE, REBECCA NASSAR | DIRECTOR | 3236752 |
| FRANKLIN, ROBERT | SVP, COMPLIANCE & CCO | 3213051 |
| FRAZEE, MATTHEW | DIRECTOR | 5979281 |
| KEENAN, JOHN FRANCIS | SVP, BUSINESS DEVELOPMENT | 2222699 |
| KUCINSKAS, ERIC KEITH | VP, FINOP & TREASURER | 6072823 |
| MCKENNY, IAN ANDREW | VP, CHIEF COUNSEL & SECRETARY | 5352951 |
| PALMER, REBECCA | CHIEF INFORMATION SECURITY OFFICER | 7320153 |
| TEESE, GREGORY DWIGHT | SVP, OPERATIONS, COO | 2135269 |
Regulatory assets under management
| Total Number of Accounts | 12,116 |
| AUM (Assets Under Management) | $ 2,451,252,093 |
Disclosures
| Regulatory Event | 8 |
| Arbitration | 2 |
| Bond | 1 |
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.
