Nelson A. 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.
Nelson Armando Garcia was a registered financial advisor .
Nelson is a previously registered financial advisor and started their career in finance in 1984. Nelson had worked at 16 firms and has passed the Series 65, Series 63, Series 55, Series 7, Series 6 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
April 27, 2010 - July 22, 2010
BENJAMIN & JEROLD BROKERAGE I, LLC
March 6, 2008 - December 14, 2012
AMERICAVEST FINANCIAL LLC
January 24, 2008 - December 31, 2008
FIRST AMERICAN CAPITAL AND TRADING CORPORATION
March 15, 2006 - January 25, 2008
LEGEND MERCHANT GROUP, INC.
March 13, 2006 - January 25, 2008
LEGEND MERCHANT GROUP, INC.
March 4, 2005 - April 5, 2006
JANNEY MONTGOMERY SCOTT LLC
April 12, 2004 - April 5, 2006
JANNEY MONTGOMERY SCOTT LLC
September 4, 2003 - May 10, 2004
J. B. HANAUER & CO.
May 5, 2003 - May 10, 2004
J. B. HANAUER & CO.
February 28, 2003 - May 2, 2003
USALLIANZ SECURITIES, INC.
June 11, 2001 - January 2, 2002
SESLIA SECURITIES
May 27, 1997 - January 14, 1999
TP ICAP GLOBAL MARKETS AMERICAS LLC
October 27, 1995 - December 9, 1996
FREIMARK BLAIR & COMPANY, INC.
September 19, 1991 - September 28, 1995
GRUNTAL & CO., L.L.C.
May 22, 1989 - September 20, 1991
PRUDENTIAL EQUITY GROUP, LLC
May 13, 1988 - June 8, 1989
CITIGROUP GLOBAL MARKETS INC.
December 26, 1986 - May 18, 1988
GLICKENHAUS & CO. - NEW JERSEY
October 25, 1985 - December 26, 1986
LISS TENNER & GOLDBERG SECURITIES CORPORATION
March 21, 1984 - September 9, 1985
FORESTERS FINANCIAL 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
Series 55
Date: 12/10/1998
Limited Representative-Equity Trader ExamCurrent Firm
BENJAMIN & JEROLD BROKERAGE I, LLC
CRD#: 29110 / SEC#: , 8-44133
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
| Arbitration | 3 |
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.
