GG
Gregory G. Garcia
STIFEL, NICOLAUS & COMPANY
Colorado Springs, CO 80903
Some features on this profile are disabled
CRD#: 2281056
GG
Professional summary
Gregory Gene Garcia, CPWA®, who also goes by Greg Garcia, Gregory G Garcia, is a registered financial advisor currently at STIFEL, NICOLAUS & COMPANY, INCORPORATED located in Colorado Springs, Colorado.
Gregory is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Gregory has worked at 2 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Greg Garcia | Gregory G 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.
1. 1045 Rialto LLC; 23031 Miners Rd, Perris, CO 92570; Family LLC which controls some real estate holdings; Member; Execute lease for property and review maintenance on regular basis; 05/01/2008; 20 Hours per Year; Not During Securities Trading Hours; Investment-Related. 2. Beaver Run Homeowners Association; 6620 Village Road, Breckenridge, CO 80424; Homeowner; Maintenance of condo; 12/15/1993; 0 Hours per Day; Not During Securities Trading Hours; Investment-Related. 3. Mt. Carmel Wellness and Community Center; 910 Robinson St, Trinidad, CO 81082; Provide Wellness and community activities for an underserved community; Trustee; Oversight of the separate Board of Managers; 06/01/2016; 4 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 4. Mt. Carmel Veteran Service Center; 510 Communications Way, Colorado Springs, CO 80906; Unique one-stop-shop for veteran services; Trustee; Oversight of the Board of Managers; 06/01/2016; 10 Hours per Month; Not During Securities Trading Hours; Not Investment-Related. 5. Garden of the Gods Resort and Club HOA; 3168 Lone Mountain View, Colorado Springs, CO 80904; Provide Luxurious casitas; Homeowner; Maintenance of my single family home; 04/01/2016; 0 Hours per Year; Not During Securities Trading Hours; Investment-Related. 6. JJG Brookside LLC; 3320 Mesa Rd, Perris, CA 92570; Real Estate; Member; Lease facility; 12/15/2020; 10 Hours per Year; Not During Securities Trading Hours; Investment-Related. 7. Mt. Carmel Veterans Service Center; 530 Communications Way Colorado Springs CO 80905; VSC provides services to assist Veterans and their family members with completing VA documentation, finding jobs, job training; Vice chairman of the board of trustees; to run the board meetings when the chairman is not there; 05/02/2024; 10.00hrs/quarter; Not During Securities Trading Hours; Not Investment-Related. 8. Mt. Carmel Wellness and Community Center; 911 Robinson Ave Trinidat CO 81082; Supports the health and wellness of the Trinidad Community which is grossly underserved and very poor; Vice Chairman of the board of trustees; I will run meeting in the absence of the chairman; 05/02/2024; 10.00hrs/quarter; Not during securities trading hours; Not Investment-Related 9. Legatus International, Colorado Springs Chapter; 228 N. Cascade Avenue Colorado Springs, CO 80904; A Catholic Community Organization; Vice President; To substitute for the President in his absence in running meetings; 11/05/2025; 2hrs/mth; Not during securities trading hours; Not investment related
CRS (Client Relationship Summary) - RIA
Click below to view Gregory Gene Garcia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Gregory Gene Garcia's 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®
CPWA®
Start date: 2019-11-12
Expire date: 2023-10-31
Experience
Current
January 20, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 102 South Tejon Street Suite 700, Colorado Springs, CO 80903RIA
BD
CRD#: 793
Colorado Springs, CO
Current
January 20, 2022 - Present
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Office #1: 102 South Tejon Street Suite 700, Colorado Springs, CO 80903RIA
BD
CRD#: 793
Colorado Springs, CO
Past
January 1, 1999 - January 24, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
COLORADO SPRINGS, CO
Past
November 12, 1992 - January 24, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
COLORADO SPRINGS, CO
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".
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
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.RR
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
RR
Arizona(1/20/2022)
RR
California(1/20/2022)
RR
Colorado(1/20/2022)
IAR
Colorado(1/20/2022)
RR
Florida(1/20/2022)
RR
Georgia(1/20/2022)
RR
Idaho(5/16/2023)
RR
Illinois(1/20/2022)
RR
Indiana(9/25/2023)
RR
Kansas(1/20/2022)
RR
Minnesota(12/5/2024)
RR
Missouri(1/20/2022)
RR
Montana(9/25/2024)
RR
New Jersey(1/20/2022)
RR
New Mexico(11/7/2024)
RR
New York(1/20/2022)
RR
Ohio(8/19/2024)
RR
Pennsylvania(1/7/2025)
RR
South Carolina(1/20/2022)
RR
Texas(1/20/2022)
IAR
Texas(1/20/2022)
RR
Utah(3/20/2025)
RR
Virginia(6/6/2022)
RR
Washington(1/20/2022)
RR
Wisconsin(7/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
Nasdaq PHLX LLC
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
STIFEL, NICOLAUS & COMPANY, INCORPORATED
EATON PARTNERS | WASHINGTON CROSSING ADVISORS | TWP PRIVATE WEALTH MANAGEMENT | STIFEL, NICOLAUS & COMPANY, INCORPORATED | STIFEL NICOLAUS & CO INC INVESTMENT SERVICES | STIFEL CAPITAL ADVISORS
CRD#: 793 / SEC#: 801-10746, 8-1447
RIA
Registered Investment Advisory firm - SEC (5/7/1975 Approved)Georgia
Registered Investment Advisory firm - SEC (11/30/2011 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Kansas City district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
501 North Broadway, St Louis, MO 63102
Mailing Address
501 North Broadway, St. Louis, MO 63102
Phone number
(314) 342-2000
Established
Missouri since 02/20/1900
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
6,464
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STIFEL FINANCIAL CORP. | SHAREHOLDER | |
| AYD, PAUL JOSEPH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2963853 |
| BRIGHT, GEOFFREY CLYDE JR | CHIEF COMPLIANCE OFFICER - PRIVATE CLIENT GROUP | 4696103 |
| BROOKS, PATRICK RODGERS | ROSFP - CAPITAL MARKETS | 2223412 |
| DODSON, CHARLES EDWARD | CCO ADVISORY SERVICES | 1744430 |
| FISHER, MARK PHILIP | GENERAL COUNSEL, SECRETARY | 4970942 |
| HYDE, GINA ELIZABETH | CHIEF COMPLIANCE OFFICER - CAPITAL MARKETS | 2812751 |
| KRUSZEWSKI, RONALD JAMES | PRESIDENT, CHIEF EXECUTIVE OFFICE & CHAIRMAN OF THE BOARD | 1434827 |
| MELINGER, ADAM SCOTT | ROSFP - PCG | 2373020 |
| NOLL, DOUGLAS WAYNE | PRINCIPAL OPERATIONS OFFICER | 1614129 |
| RAYMOND, CHARLES BRADFORD GREEN | CO-HEAD GLOBAL INSTITUTIONAL EQUITIES & ADVISORY | 2796106 |
| SCHRICK, FREDERICK RICHARD | PRINCIPAL FINANCIAL OFFICER | 5636488 |
| SLINEY, DAVID DEAN | SENIOR VICE PRESIDENT & DIRECTOR | 2276514 |
| ZEMLYAK, JAMES MARK | EXECUTIVE VICE PRESIDENT & DIRECTOR | 1586132 |
Regulatory assets under management
| Total Number of Accounts | 368,405 |
| AUM (Assets Under Management) | $ 171,209,609,487 |
Disclosures
| Regulatory Event | 168 |
| Civil Event | 2 |
| Arbitration | 60 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/18/2024 | ||
| 12/19/2023 |
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.
Company Information
STIFEL, NICOLAUS & COMPANY, INCORPORATED
CRD#: 793Colorado Springs, CO 80903TRUST BUT VERIFY
Monitor Gregory Garcia
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
xxxxx@xxxx.xxx
