Franklin J. Garcia

HAMILTON-BATES INVESTMENT RESEARCH

YORBA LINDA, CA

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CRD#: 1725624

Professional summary

Franklin Joe Garcia, who also goes by Frank J Garcia, is a registered financial advisor currently at HAMILTON-BATES INVESTMENT RESEARCH, INC. located in Yorba Linda, California.

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

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Frank J 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.

INSURANCEKO- DBA POSITION: OWNER/ PRESIDENT NATURE: SELL AND SERVICE INSURANCE FOR CLIENTS INVESTMENT RELATED: YES HOURS: 20 INVESTMENT RELATED HOURS: 1 START DATE: 1996 ADDRESS: YORBA LINDA, CA DESCRIPTION: SELL, SERVICE AND ADMINISTRATION OF AGENCY BEACON FINANCIAL PATHWAYS; INVESTMENT-RELATED; 4770 EUREKA AVE #755, YORBA LINDA, CA 92885; INSURANCE AND PLANNING FOR CLIENTS; OWNER/AGENT; START 03/2025; 30+HOURS PER MONTH/ZERO DURING SECURITIES TRADING HOURS; DUTIES: AGENTS FOR SALES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Franklin Joe Garcia's CRS (Customer Relationship Summary).

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

CRD#: 15708

PLACENTIA, CA

Past

July 3, 2007 - July 28, 2009

WEDBUSH SECURITIES INC.

CRD#: 877

BREA, CA

Past

April 26, 2006 - July 12, 2007

BROOKSTREET SECURITIES CORPORATION

CRD#: 14667

BREA, CA

Past

March 8, 1988 - August 1, 1995

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

March 8, 1988 - April 4, 2006

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

LOS ANGELES, CA

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
(11/5/2025)

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

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/7/1988

Investment Company Products/Variable Contracts Representative Examination

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CRD#: 114127 / SEC#: 801-60463

RIA

Registered Investment Advisory firm - (8/14/2012 Terminated)

California

Registered Investment Advisory firm - (7/6/2012 Approved)

Illinois

Registered Investment Advisory firm - (6/7/2012 Approved)

Indiana

Registered Investment Advisory firm - (12/9/2002 Terminated)

Ohio

Registered Investment Advisory firm - (9/10/2001 Terminated)

Pennsylvania

Registered Investment Advisory firm - (6/29/2012 Approved)

Texas

Registered Investment Advisory firm - (8/8/2012 Approved)

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

Mertztown, PA

Mailing Address

Po Box 98, Mertztown, PA 19539

Phone number

(610) 421-4407

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	360
AUM (Assets Under Management)	$ 55,537,100

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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Franklin J. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Franklin Joe Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

HAMILTON-BATES INVESTMENT RESEARCH, INC.

HARVEST INVESTMENT SERVICES, LLC

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

HAMILTON-BATES INVESTMENT RESEARCH, INC.

CONCOURSE FINANCIAL GROUP SECURITIES, INC.

WEDBUSH SECURITIES INC.

BROOKSTREET SECURITIES CORPORATION

TRANSAMERICA SECURITIES SALES CORPORATION

TRANSAMERICA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

SIE

Date: 10/1/2018

Series 6

Date: 3/7/1988

Current Firm

HAMILTON-BATES INVESTMENT RESEARCH, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

HAMILTON-BATES INVESTMENT RESEARCH, INC.

TRUST BUT VERIFY

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