Janie Garza-clark
Professional summary
Janie Garza-clark was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Janie is a previously registered financial professional and started their career in finance in 1982. Prior to being barred, Janie had worked at 6 firms, which includes TCFG WEALTH MANAGEMENT LLC, OSAIC SERVICES INC., HORNOR TOWNSEND & KENT LLC, 1717 CAPITAL MANAGEMENT COMPANY, NYLIFE SECURITIES LLC, MUTUAL OF OMAHA INVESTOR SERVICES INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 18, 2017 - May 20, 2020
TCFG WEALTH MANAGEMENT, LLC
October 13, 2016 - July 6, 2017
OSAIC SERVICES, INC.
May 11, 1993 - December 21, 2015
HORNOR, TOWNSEND & KENT, LLC
October 15, 1992 - May 13, 1993
1717 CAPITAL MANAGEMENT COMPANY
November 16, 1989 - October 5, 1992
NYLIFE SECURITIES LLC
March 16, 1982 - May 18, 1989
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
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
TCFG WEALTH MANAGEMENT, LLC
CRD#: 164153 / SEC#: , 8-69089
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| 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.
