Telma B. Garcia
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.
Telma Beatriz Garcia was a registered financial professional .
Telma is a previously registered financial professional and started their career in finance in 1993. Telma had worked at 12 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2023 - March 18, 2026
STONEX FINANCIAL INC.
April 26, 2013 - July 28, 2023
MIZUHO SECURITIES USA LLC
June 22, 2011 - April 8, 2013
UNICREDIT CAPITAL MARKETS LLC
March 15, 2010 - June 9, 2011
STANDARD CHARTERED SECURITIES NORTH AMERICA LLC
June 4, 2009 - January 20, 2010
ATLAS ONE FINANCIAL GROUP, LLC
February 23, 2009 - May 7, 2009
NATWEST MARKETS SECURITIES INC.
June 1, 2004 - February 24, 2009
ABN AMRO INCORPORATED
May 12, 2003 - June 2, 2004
COMMERZ MARKETS LLC
March 13, 2001 - May 6, 2003
PORTIGON SECURITIES INC.
July 1, 1998 - February 27, 2001
ABN AMRO SECURITIES LLC
November 6, 1995 - July 1, 1998
ING BARING (U.S.) SECURITIES, INC.
September 2, 1993 - November 6, 1995
INTERNATIONALE NEDERLANDEN (U.S.) SECURITIES CORPORATION
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
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
STONEX FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR/CEO SECURITIES | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 76 |
Red Flags
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