Antonio J. Garcia
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.
Antonio Javier Garcia, who also goes by Tony Garcia, was a registered financial professional .
Antonio is a previously registered financial professional and started their career in finance in 1981. Antonio had worked at 12 firms and has passed the Series 63, SIE, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 6, 2009 - June 23, 2017
WELLS FARGO SECURITIES, LLC
May 27, 2009 - November 6, 2009
WELLS FARGO BROKERAGE SERVICES, L.L.C.
May 2, 2001 - June 28, 2001
WELLS FARGO INVESTMENTS, LLC
March 14, 2001 - May 27, 2015
WELLS FARGO INSTITUTIONAL SECURITIES, LLC
January 25, 1999 - March 14, 2006
WELLS FARGO BROKERAGE SERVICES, L.L.C.
July 15, 1996 - May 2, 2001
WELLS FARGO SECURITIES INC.
October 4, 1995 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
July 7, 1994 - April 11, 1995
SHAY GOVERNMENT SECURITIES CO.
July 7, 1994 - April 11, 1995
SHAY FINANCIAL SERVICES CO.
March 21, 1990 - July 20, 1994
PRINTON, KANE GROUP, INC.
July 8, 1985 - February 18, 1987
PACNET SECURITIES, INCORPORATED
September 11, 1984 - May 24, 1985
MORGAN STANLEY DW INC.
September 25, 1981 - March 1, 1984
CREDIT SUISSE SECURITIES (USA) LLC
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
WELLS FARGO SECURITIES, LLC
CRD#: 126292 / SEC#: , 8-65876
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EVEREN CAPITAL CORPORATION | PARENT | |
| CHESTER, KARA MCSHANE | DIRECTOR/MANAGER | 2679854 |
| CONNOR, TIMOTHY MICHAEL | PRINCIPAL FINANCIAL OFFICER | 8157713 |
| MACCHIO, PETER | CHIEF COMPLIANCE OFFICER / DESIGNATED TEXAS OFFICER / DIRECTOR/MANAGER | 2124187 |
| OHARA, TIMOTHY PATRICK | DIRECTOR/MANAGER | 2095368 |
| PETERS, MARY LOU | DIRECTOR/MANAGER/CONTROL PRINCIPAL | 4062788 |
| RILEY, MICHAEL FRANCIS | DIRECTOR/MANAGER | 4165280 |
| RIVAS, FERNANDO S | CHAIR / CEO / PRESIDENT / DIRECTOR/MANAGER | 4803269 |
| SMITH, DANIEL D | CHIEF OPERATIONS OFFICER | 5500659 |
| THOMAS, DANIEL JEROME JR | DIRECTOR/MANAGER |
Disclosures
| Regulatory Event | 158 |
| Civil Event | 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.
