Fernando 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.
Fernando Jose Garcia, who also goes by Fern Garcia, Fernando J Garcia, was a registered financial professional .
Fernando is a previously registered financial professional and started their career in finance in 1983. Fernando had worked at 8 firms and has passed the Series 63, SIE, Series 7, Series 2 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
March 18, 2009 - April 24, 2020
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
July 15, 2003 - April 20, 2007
RAMPART FINANCIAL SERVICES, INC.
October 24, 2001 - July 11, 2003
HIMCO DISTRIBUTION SERVICES COMPANY
July 16, 1992 - September 27, 2001
VOYA FINANCIAL ADVISORS, INC.
September 15, 1989 - February 27, 1990
PRUDENTIAL EQUITY GROUP, LLC
March 29, 1988 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
July 3, 1985 - May 6, 1988
E. F. HUTTON & COMPANY INC
June 19, 1983 - November 5, 1987
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
Series 2
Date: 12/10/1975
Non-Member General Securities ExaminationCurrent Firm
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
