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Carolyn D. Pentland

SPECTRUM STRATEGIC CAPITAL MANAGEMENT
CORVALLIS, OR 97330-1905
CRD#: 4635675
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CP
Carolyn D PentlandSPECTRUM STRATEGIC CAPITAL MANAGEMENT

Professional summary

Carolyn D Pentland, who also goes by Carolyn Diane Garcia, Carolyn Diane Groce, Carolyn Diane Pentland, is a registered financial advisor currently at SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC located in Corvallis, Oregon.

Carolyn is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Carolyn has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Carolyn Diane Garcia | Carolyn Diane Groce | Carolyn Diane Pentland

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) - RIA

Click below to view Carolyn D Pentland's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

May 14, 2015 - Present

SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC

Office #1: 2055 Nw Grant Ave, Corvallis, OR 97330-1905Office #2: 5800 Meadows Road Suite 200, Lake Oswego, OR 97035-3147
RIA
CRD#: 138347
CORVALLIS, OR
Past

September 23, 2009 - April 13, 2015

LPL FINANCIAL LLC

RIA
CRD#: 6413
VANCOUVER, WA
Past

September 23, 2009 - April 13, 2015

LPL FINANCIAL LLC

BD
CRD#: 6413
VANCOUVER, WA
Past

February 27, 2008 - July 23, 2009

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
PORTLAND, OR
Past

December 10, 2007 - July 23, 2009

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
PORTLAND, OR
Past

May 21, 2004 - September 1, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
PORTLAND, OR
Past

March 24, 2003 - May 26, 2004

WS GRIFFITH SECURITIES, INC.

BD
CRD#: 10410
HARTFORD, CT

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".
SS
SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC
SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC | SPECTRUM WEALTHCARE, LLC

CRD#: 138347 / SEC#: 801-65858

RIA
Registered Investment Advisory firm - (2/1/2006 Approved)

State Registrations and Notice Filings

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

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR
Oregon
(5/15/2015)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/26/2008
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/26/2003
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 4/13/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 3/21/2003
Investment Company Products/Variable Contracts Representative Examination

Current Firm

SS
SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC
SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC | SPECTRUM WEALTHCARE, LLC

CRD#: 138347 / SEC#: 801-65858

RIA
Registered Investment Advisory firm - (2/1/2006 Approved)
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Contact information

Main Address
1745 Nw Kings Blvd., Corvallis, OR 97330-1905
Mailing Address
Phone number
(541) 248-2052
Established
Firm type
Fiscal year end
# of Employees
6

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A DATED SEPTEMBER 26, 2025 (9/26/2025)

Regulatory assets under management

Total Number of Accounts781
AUM (Assets Under Management)$ 249,260,230

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

SPECTRUM STRATEGIC CAPITAL MANAGEMENT, LLC

CRD#: 138347Corvallis, OR 97330-1905

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