Anthony B. 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.
Anthony Brent Garcia was a registered financial professional .
Anthony is a previously registered financial professional and started their career in finance in 1985. Anthony had worked at 10 firms and has passed the Series 63, Series 7TO, SIE, Series 55 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 7, 2019 - September 5, 2019
TD AMERITRADE, INC.
June 28, 1999 - November 3, 2000
PACIFIC AMERICAN SECURITIES, LLC
October 27, 1997 - June 28, 1999
ZA ASSOCIATES, INC.
April 1, 1996 - October 16, 1997
PCH SECURITIES, INC.
October 31, 1995 - February 9, 1996
FIRST INTERSTATE INVESTMENTS,INC.
March 4, 1994 - October 28, 1994
VANGUARD CAPITAL
September 8, 1987 - September 2, 1988
PRESCOTT, BALL & TURBEN, INC.
March 2, 1987 - August 25, 1987
WILSHIRE ASSOCIATES INCORPORATED
May 7, 1986 - November 26, 1986
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
January 16, 1986 - May 6, 1986
MONTGOMERY SECURITIES
March 19, 1985 - February 5, 1986
PRESCOTT, BALL & TURBEN, 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 7TO
Date: 1/7/2019
General Securities Representative ExaminationSeries 55
Date: 4/27/2000
Limited Representative-Equity Trader ExamCurrent Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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