Horacio V. 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.
Horacio Valle Garcia, who also goes by Horacio Garciavalle, Horacio Garcia Valle, Horacio Valle, was a registered financial professional .
Horacio is a previously registered financial professional and started their career in finance in 1985. Horacio had worked at 10 firms and has passed the Series 63, Series 5, Series 15, Series 3 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
February 21, 2005 - May 12, 2006
DEUTSCHE BANK SECURITIES INC.
September 5, 2003 - February 25, 2004
LEVELX CAPITAL LLC
August 28, 2002 - February 21, 2003
DEUTSCHE BANK SECURITIES INC.
January 13, 2001 - October 16, 2001
DEUTSCHE BANK SECURITIES INC.
October 19, 1998 - January 13, 2001
DB ALEX. BROWN LLC
August 31, 1995 - September 24, 1998
J.P. MORGAN SECURITIES LLC
July 10, 1995 - August 29, 1995
PRINCIPAL FINANCIAL SECURITIES,INC.
November 29, 1993 - April 12, 1995
PERSHING LLC
September 4, 1991 - January 22, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 23, 1990 - February 14, 1991
LEHMAN BROTHERS INC.
May 30, 1989 - July 30, 1990
CIBC WORLD MARKETS CORP.
March 5, 1987 - June 15, 1989
PRUDENTIAL EQUITY GROUP, LLC
February 26, 1985 - March 18, 1987
LEHMAN BROTHERS INC.
Primary Firm SEC Registration
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
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 5
Date: 8/25/1987
Interest Rate Options ExaminationSeries 15
Date: 7/31/1987
Foreign Currency Options ExaminationCurrent Firm
DEUTSCHE BANK SECURITIES INC.
CRD#: 2525 / SEC#: 801-9638, 8-17822
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DB U.S. FINANCIAL MARKETS HOLDING CORPORATION | STOCKHOLDER | |
| LEONARD, CHRISTOPHER | CHIEF EXECUTIVE OFFICER & PRESIDENT | 5748580 |
| MASSARO, TIBERIO | DIRECTOR/CHIEF FINANCIAL OFFICER/FINOP | 1847137 |
| NAPPER, GLEENNIA T | CHIEF COMPLIANCE OFFICER FOR INVESTMENT ADVISER | 6161268 |
| PETRUCCELLI, DOMINICK III | CHIEF RISK OFFICER | 8018800 |
| SANTORE, DAVID | CHIEF LEGAL OFFICER | 7987270 |
| STUCCHIO, ANTHONY | CHIEF OPERATIONS OFFICER AND DIRECTOR | 2198592 |
| TIGER, SEBASTIAN BENJAMIN | CHIEF COMPLIANCE OFFICER | 2266287 |
Disclosures
| Regulatory Event | 291 |
| Civil Event | 3 |
| Arbitration | 13 |
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.
