Mario E. 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.
Mario Emiliano Garcia was a registered financial professional .
Mario is a previously registered financial professional and started their career in finance in 1995. Mario had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 4, 2007 - August 3, 2011
NI ADVISORS
March 1, 2006 - November 30, 2006
SCF SECURITIES, INC.
June 2, 2004 - November 23, 2004
WORLD GROUP SECURITIES, INC.
January 30, 2002 - May 17, 2002
WELLS FARGO INVESTMENTS, LLC
March 22, 2000 - May 1, 2001
PREFERREDTRADE, INC.
December 1, 1999 - January 28, 2000
WMA SECURITIES, INC.
February 10, 1999 - December 31, 1999
CLEARING SERVICES OF AMERICA, INC.
June 5, 1997 - November 9, 1998
WMA SECURITIES, INC.
January 18, 1995 - March 13, 1996
INTERFIRST CAPITAL CORPORATION
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
NI ADVISORS
CRD#: 134502 / SEC#: , 8-66841
Contact information
FINRA licenses (34 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 3,560,000 |
Disclosures
| Regulatory 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.
