Rolando E. Garcia
Professional summary
Rolando Emilio Garcia, who also goes by Roland Garcia, Rolando Garcia, Ron Garcia, Ronnie Garcia, is a registered financial professional currently at SUTTER SECURITIES INCORPORATED located in Henderson, Nevada.
Rolando is registered as a RR (Registered Representative) and started their career in finance in 1992. Rolando has worked at 15 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Rolando Emilio Garcia's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 8, 2024 - Present
SUTTER SECURITIES INCORPORATED
November 3, 2021 - September 21, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
October 29, 2021 - September 21, 2022
FIDELITY BROKERAGE SERVICES LLC
September 20, 2018 - November 4, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 10, 2018 - November 4, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 21, 2017 - June 15, 2018
W&S BROKERAGE SERVICES, INC.
August 23, 2016 - May 2, 2017
NYLIFE SECURITIES LLC
July 9, 2015 - June 16, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 25, 2015 - June 16, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 25, 2014 - December 4, 2014
MSI FINANCIAL SERVICES, INC.
January 11, 2012 - June 12, 2013
ALAMO CAPITAL
January 5, 2012 - June 12, 2013
ALAMO CAPITAL
April 28, 2011 - December 23, 2011
GREAT CIRCLE FINANCIAL
August 25, 2010 - April 4, 2011
OSAIC SERVICES, INC.
December 22, 2009 - July 19, 2010
CHICAGO INVESTMENT GROUP, LLC
March 29, 2004 - July 17, 2008
WEDBUSH SECURITIES INC.
September 17, 2002 - March 9, 2004
WELLS FARGO INVESTMENTS, LLC
September 17, 2002 - March 9, 2004
WELLS FARGO INVESTMENTS, LLC
May 14, 2001 - September 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
March 30, 2001 - September 3, 2002
PRUDENTIAL EQUITY GROUP, LLC
October 11, 1992 - April 25, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/9/2024)
(9/9/2024)
Exams
Series 7TO
Date: 9/8/2024
General Securities Representative ExaminationFINRA
Current Firm
SUTTER SECURITIES INCORPORATED
CRD#: 30770 / SEC#: , 8-45158
Contact information
FINRA licenses (50 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SUTTER SECURITIES GROUP INC (FORMERLY FINTECH GLOBAL MARKETS) | SHAREHOLDER | |
| BULL, ROBERT LEE IV | FINOP | 1521134 |
| CHOMATIL, NEHRU SUBRAMANIAN | CHIEF COMPLIANCE OFFICER | 2342004 |
| MALEY, ROBERT ANDREW | EXECUTIVE VICE PRESIDENT | 2442794 |
| MATTHEWS, GILBERT ELLIOTT | SR. MANAGING DIRECTOR, DIRECTOR, CHAIRMAN | |
| SMITH, LINCOLN JOSEPH JR | PRESIDENT, CEO | 2501422 |
Disclosures
| Regulatory Event | 1 |
| Bond | 1 |
Red Flags
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