Joseph A. Garcia

PACIFIC FINANCIAL STRATEGIES,

Thousand Oaks, CA 91360

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CRD#: 1626067

Professional summary

Joseph Arthur Garcia, who also goes by Art Garcia, J Arthur Garcia, is a registered financial advisor currently at PACIFIC FINANCIAL STRATEGIES, INC located in Thousand Oaks, California.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Joseph has worked at 11 firms and has passed the Series 63, Series 65, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Art Garcia | J Arthur Garcia

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

1. DBA AND INSURANCE THRU PACIFIC FINANCIAL STRATEGIES INC; CEO; . ENGAGES IN THE SALE OF HEALTH INSURANCE, DISABILITY INSURANCE, LONG TERM CARE, TERM, UNIVERSAL & WHOLE LIFE INSURANCE. FIXED ANNUITIES. 3/1987 40 HRS/MO

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Arthur Garcia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

January 22, 2010 - Present

PACIFIC FINANCIAL STRATEGIES, INC

Office #1: 223 E. Thousand Oaks Blvd., Suite 403, Thousand Oaks, CA 91360

RIA

CRD#: 151434

Thousand Oaks, CA

Past

April 2, 2008 - February 19, 2010

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

RIA

CRD#: 15708

AGOURA, CA

Past

March 31, 2008 - February 19, 2010

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

AGOURA, CA

Past

January 24, 2000 - November 17, 2003

INDEPENDENT ADVISERS GROUP CORP

RIA

CRD#: 106684

AGOURA, CA

Past

October 14, 1998 - March 31, 2008

OSAIC FS, INC.

RIA

CRD#: 3870

AGOURA, CA

Past

October 28, 1997 - March 31, 2008

OSAIC FS, INC.

CRD#: 3870

AGOURA, CA

Past

January 6, 1997 - October 28, 1997

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

November 27, 1995 - December 11, 1996

NEW ENGLAND SECURITIES

CRD#: 615

NEW YORK, NY

Past

November 29, 1994 - November 6, 1995

INTERVEST INTERNATIONAL EQUITIES CORPORATION

CRD#: 20289

COLORADO SPRINGS, CO

Past

September 16, 1993 - December 31, 1994

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

January 27, 1992 - November 10, 1994

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

NEWARK, DE

Past

January 3, 1991 - April 10, 1992

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

CRD#: 5496

WELLESLEY HILLS, MA

Past

March 25, 1987 - November 15, 1990

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PACIFIC FINANCIAL STRATEGIES, INC

CRD#: 151434 / SEC#: 801-70849

RIA

Registered Investment Advisory firm - (12/7/2009 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(1/22/2010)

IAR

Texas
(3/13/2017)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 8/12/2004

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 10/5/1998

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 7

Date: 9/4/1998

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/24/1987

Investment Company Products/Variable Contracts Representative Examination

Current Firm

PACIFIC FINANCIAL STRATEGIES, INC

CRD#: 151434 / SEC#: 801-70849

RIA

Registered Investment Advisory firm - (12/7/2009 Approved)

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Contact information

Main Address

223 E. Thousand Oaks Blvd., Suite 403, Thousand Oaks, CA 91360

Mailing Address

Phone number

(818) 991-7794

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (7 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PFS ADV 2A (3/20/2025)

Regulatory assets under management

Total Number of Accounts	864
AUM (Assets Under Management)	$ 181,730,933

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.

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Advisor Monitoring

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Joseph A. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Arthur Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

INDEPENDENT ADVISERS GROUP CORP

OSAIC FS, INC.

OSAIC FS, INC.

CETERA WEALTH SERVICES, LLC

NEW ENGLAND SECURITIES

INTERVEST INTERNATIONAL EQUITIES CORPORATION

MUTUAL SERVICE CORPORATION

1717 CAPITAL MANAGEMENT COMPANY

SUN LIFE FINANCIAL DISTRIBUTORS, INC.

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

PACIFIC FINANCIAL STRATEGIES, INC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/12/2004

Series 65

Date: 10/5/1998

Series 7

Date: 9/4/1998

Series 6

Date: 3/24/1987

Current Firm

PACIFIC FINANCIAL STRATEGIES, INC

Contact information

SEC notice filing (7 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PACIFIC FINANCIAL STRATEGIES, INC

TRUST BUT VERIFY

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