Rafael 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.
Rafael Ernesto Garcia JR, who also goes by Rafael Ernesto Garcia, was a registered financial professional .
Rafael is a previously registered financial professional and started their career in finance in 1990. Rafael had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 8 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
November 24, 2015 - March 8, 2016
FINANCIAL NORTHEASTERN SECURITIES, INC.
April 23, 2015 - March 8, 2016
FINANCIAL NORTHEASTERN SECURITIES, INC.
April 17, 2013 - February 4, 2015
OPPENHEIMER & CO. INC.
April 16, 2013 - February 4, 2015
OPPENHEIMER & CO. INC.
October 22, 2008 - March 21, 2013
RBC CAPITAL MARKETS, LLC
October 17, 2008 - March 21, 2013
RBC CAPITAL MARKETS, LLC
January 1, 2008 - October 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - October 23, 2008
WELLS FARGO CLEARING SERVICES, LLC
February 27, 1997 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 27, 1997 - January 3, 2008
A. G. EDWARDS & SONS, INC.
March 1, 1996 - February 26, 1997
INTERCREDIT CAPITAL MARKETS, INC.
August 22, 1995 - October 23, 1995
GMS GROUP
February 21, 1990 - July 17, 1995
FAIC 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
Series 8
Date: 12/4/1997
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
FINANCIAL NORTHEASTERN SECURITIES, INC.
CRD#: 17007 / SEC#: , 8-34883
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 4 |
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.
