Alex G. Garcia

AGG ASSET MANAGEMENT

Westlake Village, CA 91361

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CRD#: 1696903

Professional summary

Alex Gregory Garcia, who also goes by Alex Gregory Garcia Mr., is a registered financial advisor currently at AGG ASSET MANAGEMENT, LLC located in Westlake Village, California.

Alex is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1988. Alex has worked at 14 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Alex Gregory Garcia Mr.

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Gregory Garcia's 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

September 24, 2010 - Present

AGG ASSET MANAGEMENT, LLC

Office #1: 875 S Westlake Boulevard Suite 218, Westlake Village, CA 91361

RIA

CRD#: 154846

Westlake Village, CA

Past

September 24, 2015 - February 1, 2017

LUMINOUS 8 WEALTH MANAGEMENT LLC

RIA

CRD#: 259786

WESTLAKE VILLAGE, CA

Past

September 24, 2010 - May 13, 2011

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

WESTLAKE VILLAGE, CA

Past

November 18, 2009 - September 28, 2010

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

WESTLAKE VILLAGE, CA

Past

October 13, 2009 - September 28, 2010

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

WESTLAKE VILLAGE, CA

Past

April 20, 2007 - September 30, 2009

JPMORGAN DISTRIBUTION SERVICES, INC.

CRD#: 104234

SAN FRANCISCO, CA

Past

January 21, 2005 - April 5, 2007

ENTERPRISE FUND DISTRIBUTORS, INC.

CRD#: 883

ATLANTA, GA

Past

February 13, 2002 - January 24, 2005

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

January 21, 2000 - January 24, 2002

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

November 4, 1998 - December 7, 1999

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

December 3, 1996 - November 13, 1998

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

December 16, 1992 - December 23, 1994

SUTRO & CO. INCORPORATED

CRD#: 801

SAN FRANCISCO, CA

Past

August 27, 1991 - January 1, 1993

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

March 27, 1991 - July 17, 1991

ADAMS SECURITIES, INC.

CRD#: 16688

Past

November 19, 1990 - March 27, 1991

FIRST CHOICE SECURITIES CORP.

CRD#: 17021

Past

February 1, 1988 - August 18, 1988

PFS INVESTMENTS INC.

CRD#: 10111

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
(9/24/2010)

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

IAR

Series 65

Date: 11/17/2009

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 12/8/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1990

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 1/29/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

AGG ASSET MANAGEMENT, LLC

CRD#: 154846 / SEC#: 801-71817

RIA

Registered Investment Advisory firm - (3/10/2011 Terminated)

California

Registered Investment Advisory firm - (3/8/2011 Approved)

Texas

Registered Investment Advisory firm - (2/7/2017 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

875 S Westlake Boulevard Suite 218, Westlake Village, CA 91361

Mailing Address

Phone number

(805) 496-3344

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	165
AUM (Assets Under Management)	$ 55,000,000

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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Alex G. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Alex Gregory Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

AGG ASSET MANAGEMENT, LLC

LUMINOUS 8 WEALTH MANAGEMENT LLC

PURSHE KAPLAN STERLING INVESTMENTS

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

JPMORGAN DISTRIBUTION SERVICES, INC.

ENTERPRISE FUND DISTRIBUTORS, INC.

WELLS FARGO INVESTMENTS, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

ALLIANCEBERNSTEIN INVESTMENTS, INC.

TRANSAMERICA SECURITIES SALES CORPORATION

SUTRO & CO. INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADAMS SECURITIES, INC.

FIRST CHOICE SECURITIES CORP.

PFS INVESTMENTS INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/2009

Series 63

Date: 12/8/1990

Series 7

Date: 11/17/1990

Series 6

Date: 1/29/1988

Current Firm

AGG ASSET MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

AGG ASSET MANAGEMENT, LLC

TRUST BUT VERIFY

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