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Detailed Report
GARY ALLEN WARNER
CRD#: 2784883
IA
Investment Adviser
B
Broker
MARINER INDEPENDENTCRD#: 283824 7447 North First Street
#203
Fresno, CA 93720
LPL FINANCIAL LLCCRD#: 6413 7447 N 1ST ST, #203
FRESNO, CA 93720
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2016 - Present (8 years)BCAPITAL FINANCIAL SERVICES, INC. (CRD# 8408)2003 - 2016 (13 years)BARM SECURITIES CORPORATION (CRD# 932)2000 - 2003 (2 years)BBRECEK & YOUNG ADVISORS, INC. (CRD# 40395)1996 - 2000 (4 years)IALPL FINANCIAL LLC (CRD# 6413)2018 - 2020 (2 years)IACAPITAL FINANCIAL SERVICES, INC. (CRD# 8408)2006 - 2016 (10 years)
Disclosure(s)
View By:
7/29/2013
Customer Dispute
Settled
License(s)

State Registrations

B
Alabama 11/20/2020
B
Minnesota 7/9/2018
B
Arizona 2/23/2017
B
Missouri 11/24/2016
B
California 11/22/2016
B
Nebraska 2/17/2017
IA
California 11/23/2016
B
Nevada 8/2/2022
B
Colorado 5/9/2018
B
New Mexico 11/22/2016
B
District of Columbia 10/1/2020
B
New York 1/9/2021
B
Florida 11/23/2020
B
North Carolina 11/22/2016
B
Georgia 5/30/2023
B
Ohio 9/23/2020
B
Hawaii 8/29/2018
B
Oregon 11/22/2016
B
Idaho 11/22/2016
B
South Carolina 12/2/2020
B
Illinois 12/3/2020
B
Tennessee 7/22/2021
B
Iowa 11/23/2020
B
Texas 11/22/2016
B
Kansas 11/30/2020
B
Utah 11/22/2016
B
Louisiana 7/6/2018
B
Virginia 7/5/2018
B
Maryland 11/23/2020
B
Washington 11/22/2016
B
Massachusetts 6/3/2019
B
Wyoming 11/22/2016
B
Michigan 3/25/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
MARINER INDEPENDENT (CRD#:283824)
7447 North First Street #203, Fresno, CA 93720
Registered with this firm since 11/23/2016
B
LPL FINANCIAL LLC (CRD#:6413)
7447 N 1ST ST, #203, FRESNO, CA 93720
Registered with this firm since 11/22/2016
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 07/05/2018 - 10/08/2020 LPL FINANCIAL LLC (CRD#:6413) FRESNO, CA
IA
 06/26/2006 - 11/28/2016 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) FRESNO, CA
B
 06/02/2003 - 11/28/2016 CAPITAL FINANCIAL SERVICES, INC. (CRD#:8408) FRESNO, CA
B
 11/13/2000 - 06/02/2003 ARM SECURITIES CORPORATION (CRD#:932) MINOT, ND
B
 10/15/1996 - 11/14/2000 BRECEK & YOUNG ADVISORS, INC. (CRD#:40395) FOLSOM, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.