Gabriel Garcia

SEI INVESTMENTS MANAGEMENT CORP

Newtown Square, PA

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CRD#: 2500963

Professional summary

Gabriel Garcia, who also goes by Gabe Garcia, Gabriel (none) Garcia, Gabriel Garcia, is a registered financial advisor currently at SEI INVESTMENTS MANAGEMENT CORP located in Newtown Square, Pennsylvania and SEI INVESTMENTS DISTRIBUTION CO. located in Oaks, Pennsylvania.

Gabriel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Gabriel has worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 82TO, SIE, Series 7, Series 10, Series 9, Series 24, Series 23 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gabe Garcia | Gabriel (none) Garcia | Gabriel 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gabriel Garcia's CRS (Customer Relationship Summary).

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®

None

Experience

Current

May 13, 2022 - Present

SEI INVESTMENTS MANAGEMENT CORP

RIA

CRD#: 105146

Newtown Square, PA

Current

May 12, 2022 - Present

SEI INVESTMENTS DISTRIBUTION CO.

Office #1: One Freedom Valley Drive, Oaks, PA 19456

CRD#: 10690

Oaks, PA

Past

September 14, 2021 - May 3, 2022

FORESIDE FUND SERVICES, LLC

CRD#: 46106

PORTLAND, ME

Past

July 21, 2021 - May 5, 2022

CRESSET ASSET MANAGEMENT, LLC

RIA

CRD#: 288566

Cranford, NJ

Past

October 3, 2019 - May 27, 2021

E*TRADE SECURITIES LLC

CRD#: 29106

Jersey City, NJ

Past

October 15, 2010 - October 1, 2019

CRD#: 7870

OMAHA, NE

Past

January 28, 2003 - July 26, 2010

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

RICHMOND, VA

Past

December 21, 1995 - July 26, 2010

CHARLES SCHWAB & CO., INC.

CRD#: 5393

RICHMOND, VA

Past

July 6, 1994 - November 21, 1995

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

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".

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 Approved)

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.

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

Pennsylvania
(5/12/2022)

IAR

Pennsylvania
(5/13/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Series 8

Date: 1/30/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

CRD#: 105146 / SEC#: 801-24593

RIA

Registered Investment Advisory firm - (6/27/1985 Approved)

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Contact information

Main Address

One Freedom Valley Drive, Oaks, PA 19456

Mailing Address

Phone number

(610) 676-1000

Established

Firm type

Fiscal year end

# of Employees

447

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SIMC FORM ADV PART 2A - INDEPENDENT ADVISOR SOLUTIONS BY SEI (8/15/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE BANKING (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (INDEPENDENT ADVISOR SOLUTIONS BY SEI) (3/31/2025)

SIMC WRAP FEE BROCHURE - MANAGED ACCOUNT SOLUTIONS (PRIVATE WEALTH MANAGEMENT) (3/31/2025)

SIMC FORM ADV PART 2A - SEI INSTITUTIONAL GROUP (3/31/2025)

SIMC FORM ADV PART 2A - SEI PRIVATE WEALTH MANAGEMENT (3/31/2025)

Regulatory assets under management

Total Number of Accounts	99,603
AUM (Assets Under Management)	$ 198,143,431,156

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/27/2025	Cover Page	Report
01/27/2025	Cover Page	Report
10/25/2023	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Gabriel Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gabriel Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

SEI INVESTMENTS DISTRIBUTION CO.

FORESIDE FUND SERVICES, LLC

CRESSET ASSET MANAGEMENT, LLC

E*TRADE SECURITIES LLC

PERSHING ADVISOR SOLUTIONS LLC

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

SEI INVESTMENTS MANAGEMENT CORP

State Registrations and Notice Filings

Exams

Series 66

Date: 1/23/2003

Series 65

Date: 7/12/1994

Series 63

Date: 7/8/1994

Series 82TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/1/1994

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 24

Date: 1/2/2023

Series 23

Date: 11/26/2011

Series 8

Date: 1/30/1998

FINRA

Current Firm

SEI INVESTMENTS MANAGEMENT CORP

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SEI INVESTMENTS MANAGEMENT CORP

TRUST BUT VERIFY

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