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Mary Garlock: $450K Complaint Against Victory Financial Advisor

Ocean Park, Washington financial advisor Mary Garlock (CRD# 3130178) has received multiple investor complaints alleging her conduct resulted in losses. Financial Industry Regulatory Authority records show that she is a broker with Purshe Kaplan Sterling Investments and an investment advisor with Victory Financial Planning. 

Ms. Garlock’s BrokerCheck report discloses two investor complaints. The most recent, filed in June 2022, alleges negligence and supervisory failures while she was a representative of Cetera Advisors. The pending complaint alleges damages of $450,000.

An earlier investor complaint, filed in 2021, alleged excessive fees and an improper liquidation of assets while she was at Cetera Advisors. In March 2022 the complaint reached a settlement of $15,000.

In a statement on the 2021 complaint’s disclosure, Ms. Garlock defended herself against the allegations, describing the claimant as a “a disgruntled family member who is party to an ongoing family dispute.” She added that she “consistently” acted in the claimant’s interest and “never overcharged her or made any unsuitable trades.” She concluded by asserting that the allegations “are unfounded and have not been proven.”

According to the Financial Industry Regulatory Authority, Mary Garlock holds 23 years of securities industry experience. Based in Ocean Park, Washington, she has been a broker with Purshe Kaplan Sterling Investments and an investment advisor with Victory Financial Planning since October 2020. Her past registrations include Cetera Advisors, Invest Financial Corporation, CUSO Financial Services, Royal Alliance Associates, FSC Securities Corporation, Advantage Capital Corporation, and First Union Brokerage Services. Her credentials include the passage of six securities industry qualifying examinations: the General Securities Principal Examination, or Series 24; the Investment Company Products/Variable Contracts Representative Examination, or Series 6; the General Securities Representative Examination, or Series 7; the Securities Industry Essentials Examination, or SIE; the Uniform Securities Agent State Law Examination, or Series 63; and the Uniform Investment Adviser Law Examination, or Series 65. She is licensed in Idaho, Oregon, Pennsylvania, and Washington. (Information current as of September 20, 2022.)

Carlson Law represents investors throughout the United States in claims against financial advisors and investment firms. If you or a loved one have suffered investment losses, please call us at 888-976-6111 or complete our contact form for a free and confidential consultation.

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