Thomas J. Garcia

ALLSTATE FINANCIAL ADVISORS

Poway, CA 92064-8868

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CRD#: 1713791

Professional summary

Thomas John Garcia, CFP® is a registered financial advisor currently at ALLSTATE FINANCIAL ADVISORS, LLC located in Poway, California and ALLSTATE FINANCIAL SERVICES, LLC located in Poway, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Thomas has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

None

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 Thomas John 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®

CFP^®

Certified Financial Planner

Experience

Current

March 27, 2013 - Present

ALLSTATE FINANCIAL ADVISORS, LLC

Office #1: 12700 Stowe Dr Ste 220, Poway, CA 92064-8868

RIA

CRD#: 109524

Poway, CA

Current

May 1, 2001 - Present

ALLSTATE FINANCIAL SERVICES, LLC

Office #1: 12700 Stowe Dr Ste 220, Poway, CA 92064-8868

CRD#: 18272

Poway, CA

Past

December 16, 1991 - May 31, 2001

ARAGON FINANCIAL SERVICES, INC.

CRD#: 16023

IRVINE, CA

Past

November 7, 1989 - December 12, 1991

TITAN/VALUE EQUITIES GROUP, INC.

CRD#: 6359

IRVINE, CA

Past

September 24, 1987 - November 7, 1989

VALUE EQUITIES CORPORATION

CRD#: 13316

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".

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 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.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Arizona
(6/14/2018)

California
(5/1/2001)

IAR

California
(3/27/2013)

Colorado
(2/14/2023)

Florida
(8/15/2019)

Hawaii
(2/14/2023)

Kansas
(4/14/2025)

Nevada
(2/2/2018)

New Mexico
(4/13/2020)

Texas
(11/28/2018)

Virginia
(5/7/2020)

Washington
(12/6/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 4/11/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/22/1987

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/28/1994

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

ALLSTATE FINANCIAL ADVISORS LLC | ALLSTATE FINANCIAL ADVISORS, LLC

CRD#: 109524 / SEC#: 801-68510

RIA

Registered Investment Advisory firm - (11/21/2007 Approved)

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Contact information

Main Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Mailing Address

151 N 8th Street, Suite 450, Lincoln, NE 68508

Phone number

(877) 232-2142

Established

Firm type

Fiscal year end

# of Employees

337

SEC notice filing (49 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AFA FORM ADV FIRM BROCHURE 2025 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	280
AUM (Assets Under Management)	$ 82,015,793

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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Firm Stability Insights

Thomas J. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas John Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALLSTATE FINANCIAL SERVICES, LLC

ARAGON FINANCIAL SERVICES, INC.

TITAN/VALUE EQUITIES GROUP, INC.

VALUE EQUITIES CORPORATION

Primary Firm SEC Registration

ALLSTATE FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/11/1996

SIE

Date: 10/1/2018

Series 6

Date: 9/22/1987

Series 26

Date: 2/28/1994

FINRA

Current Firm

ALLSTATE FINANCIAL ADVISORS, LLC

Contact information

SEC notice filing (49 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLSTATE FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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