Garry A. Estrada
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.
Garry Anthony Estrada, who also goes by Garry A Estrada, was a registered financial advisor .
Garry is a previously registered financial advisor and started their career in finance in 1984. Garry had worked at 5 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 26, 2006 - April 6, 2006
CAPITAL INVESTMENT MANAGEMENT
March 12, 2002 - December 31, 2005
ALL IN ONE FINANCIAL SERVICES, INC.
August 15, 1995 - March 30, 2001
PACIFIC WEST SECURITIES, INC.
February 1, 1988 - March 27, 1995
PACIFIC HARBOR SECURITIES, INC.
February 28, 1985 - February 18, 1988
KMS FINANCIAL SERVICES, INC.
November 21, 1984 - March 11, 1985
PACIFIC HARBOR SECURITIES, 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
CAPITAL INVESTMENT MANAGEMENT
CRD#: 119481 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 88 |
| AUM (Assets Under Management) | $ 8,772,568 |
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.
