Carlos J. Garza

ISC ADVISORS

Plano, TX

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CRD#: 1800809

Professional summary

Carlos Javier Garza is a registered financial advisor currently at ISC ADVISORS, INC. located in Plano, Texas and INSTITUTIONAL SECURITIES CORPORATION located in Dallas, Texas.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Carlos has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 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.

1) Boardwalk Beach Resort Florida, owner, condo as vacation/investment property periodic rental income, 5 % of time devoted to this activity. 2) Garza Financial Group, LLC, Managing Member, started January 2017, Plano, TX less than 1% of time devoted to other business with none during trading hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Javier Garza'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

November 21, 2016 - Present

ISC ADVISORS, INC.

RIA

CRD#: 166586

Plano, TX

Current

July 24, 2000 - Present

INSTITUTIONAL SECURITIES CORPORATION

Office #1: 3500 Oak Lawn Ave Suite 400, Dallas, TX 75219

CRD#: 20291

Dallas, TX

Past

February 5, 1999 - July 21, 2000

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

HOUSTON, TX

Past

March 24, 1988 - July 21, 2000

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

HOUSTON, TX

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".

ISC ADVISORS, INC.

CRD#: 166586 / SEC#: 801-77727

RIA

Registered Investment Advisory firm - (3/20/2013 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

Florida
(9/5/2018)

Kansas
(2/3/2014)

Oklahoma
(12/17/2019)

IAR

Oklahoma
(5/22/2024)

Pennsylvania
(8/7/2017)

Texas
(7/24/2000)

IAR

Texas
(11/21/2016)

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

IAR

Series 65

Date: 11/19/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/29/1988

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: 3/4/1988

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

ISC ADVISORS, INC.

CRD#: 166586 / SEC#: 801-77727

RIA

Registered Investment Advisory firm - (3/20/2013 Approved)

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Contact information

Main Address

3500 Oak Lawn Ave Ste 400, Dallas, TX 75219

Mailing Address

Phone number

(214) 520-1115

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (20 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ISC ADVISORS PART 2A-MARCH 2024 (7/30/2025)

Regulatory assets under management

Total Number of Accounts	1,989
AUM (Assets Under Management)	$ 1,539,119,817

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

Firm Stability Insights

Carlos J. Garza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Javier Garza's CRS (Customer Relationship Summary).

Certified licenses

Experience

INSTITUTIONAL SECURITIES CORPORATION

VALIC FINANCIAL ADVISORS, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

Primary Firm SEC Registration

ISC ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 11/19/2016

Series 63

Date: 2/29/1988

SIE

Date: 10/1/2018

Series 6

Date: 3/4/1988

FINRA

Current Firm

ISC ADVISORS, INC.

Contact information

SEC notice filing (20 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ISC ADVISORS, INC.

TRUST BUT VERIFY

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