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RG

Ruben H. Garcia

Some features on this profile are disabled
CRD#: 2312752
RG

Professional summary

Ruben Hugo Garcia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ruben is a previously registered financial professional and started their career in finance in 1993. Prior to being barred, Ruben had worked at 4 firms, which includes CFC SECURITIES INC., GILFORD SECURITIES INCORPORATED, LEHMAN BROTHERS INC., JONATHAN FOSTER & CO. L.P..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

March 14, 2000 - September 20, 2000

CFC SECURITIES, INC.

BD
CRD#: 44748
NEW YORK, NY
Past

July 27, 1999 - March 6, 2000

GILFORD SECURITIES INCORPORATED

BD
CRD#: 8076
NEW YORK, NY
Past

June 1, 1995 - July 12, 1999

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY
Past

January 7, 1993 - July 6, 1995

JONATHAN FOSTER & CO., L.P.

BD
CRD#: 20587
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 1/15/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 3/11/1993
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 9/22/1994
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/31/1993
Municipal Securities Principal Examination

Current Firm

CS
CFC SECURITIES, INC.
CFC SECURITIES, INC.

CRD#: 44748 / SEC#: , 8-50803

BD
Terminated by SEC on 11/03/2001
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Contact information

Main Address
Mailing Address
Phone number
Established
New York since 12/24/1997
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
CFC INTERNATIONAL (NORTH AMERICA) INC.CORPORATION
ELLIOT, STEVEN CORDELLGENERAL SECURITIES PRINCIPAL1290299
GOODMAN, CARL HENRYFINANCIAL AND OPERATIONS PRINCIPAL825267
STEIN, MICHAEL EUGENEPRESIDENT434735

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

CFC SECURITIES, INC.

CRD#: 44748

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