Jose M. Garcia-rios
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jose Manuel Garcia-rios, who also goes by Jose M Garciarios, Jose Manuel Garciarios, Joe Rios, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1989. Jose had worked at 12 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 28, 2011 - July 12, 2012
BEST DIRECT SECURITIES, LLC
September 22, 2004 - August 24, 2009
MONTECITO ADVISORS, INC.
August 17, 2004 - August 24, 2005
ADVANZ SECURITIES, INC.
August 16, 2004 - September 12, 2005
ADVANZ SECURITIES, INC.
May 21, 2003 - May 23, 2003
DINOSAUR FINANCIAL GROUP, L.L.C
May 17, 1998 - August 13, 2004
TERRA NOVA FINANCIAL, LLC
September 1, 1995 - May 22, 1998
CITIGROUP GLOBAL MARKETS INC.
October 27, 1993 - December 31, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
September 20, 1993 - August 15, 1995
CITICORP INVESTMENT SERVICES
May 19, 1992 - September 28, 1993
PRUDENTIAL EQUITY GROUP, LLC
October 15, 1991 - September 9, 1992
MML INVESTORS SERVICES, LLC
November 22, 1989 - October 17, 1991
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 22, 1989 - October 17, 1991
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
BEST DIRECT SECURITIES, LLC
CRD#: 146053 / SEC#: , 8-67777
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEREGRINE FINANCIAL GROUP, INC | OWNER / SOLE MEMBER | |
| LISHCHYNSKY, MARK JOHN JR | CHIEF COMPLIANCE OFFICER | 2478952 |
| LISHCHYNSKY, MARK JOHN JR | PRESIDENT | 2478952 |
| SADZEWICZ, GERY JOSEPH | FINOP | 1090963 |
| TEGTMEIER, JAMES GORDON | BRANCH OFFICE MANAGER / GENERAL SECURITIES PRINCIPAL | 4042452 |
| TEGTMEIER, JAMES GORDON | SROP & CROP | 4042452 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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