Brent E. Garcia

BROADWATER CAPITAL MANAGEMENT LLC

BOSTON, MA 02108

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CRD#: 2502544

Professional summary

Brent Evan Garcia is a registered financial advisor currently at BROADWATER CAPITAL MANAGEMENT LLC located in Boston, Massachusetts.

Brent is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1994. Brent has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Brent Evan 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

June 16, 2003 - Present

BROADWATER CAPITAL MANAGEMENT LLC

Office #1: 15 Court Sq, Ste 640, Boston, MA 02108

RIA

CRD#: 125509

BOSTON, MA

Past

November 29, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

September 26, 1994 - March 30, 2001

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".

BROADWATER CAPITAL MANAGEMENT LLC

ABG MANAGEMENT, LLC | BROADWATER CAPITAL MANAGEMENT LLC

CRD#: 125509 / SEC#: 801-126394

RIA

Registered Investment Advisory firm - (8/15/2022 Approved)

Massachusetts

Registered Investment Advisory firm - (1/27/2023 Terminated)

New Hampshire

Registered Investment Advisory firm - (1/27/2023 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Massachusetts
(6/16/2003)

IAR

New Hampshire
(6/25/2012)

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.

Exams

State Security Law Exam

Series 63

Date: 10/6/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 9/22/1994

General Securities Representative Examination

Current Firm

BROADWATER CAPITAL MANAGEMENT LLC

ABG MANAGEMENT, LLC | BROADWATER CAPITAL MANAGEMENT LLC

CRD#: 125509 / SEC#: 801-126394

RIA

Registered Investment Advisory firm - (8/15/2022 Approved)

Massachusetts

Registered Investment Advisory firm - (1/27/2023 Terminated)

New Hampshire

Registered Investment Advisory firm - (1/27/2023 Terminated)

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Contact information

Main Address

15 Court Square, Suite 640, Boston, MA 02108-2521

Mailing Address

Phone number

(617) 778-0095

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (2 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

BROADWATER CAPITAL MANAGEMENT LLC FORM ADV PART 2A (3/27/2025)

Regulatory assets under management

Total Number of Accounts	101
AUM (Assets Under Management)	$ 153,576,644

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
08/26/2024	Cover Page	Report
03/07/2024	Cover Page	Report
02/07/2023	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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Brent E. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

BROADWATER CAPITAL MANAGEMENT LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

BROADWATER CAPITAL MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/6/1994

Series 7

Date: 9/22/1994

Current Firm

BROADWATER CAPITAL MANAGEMENT LLC

Contact information

SEC notice filing (2 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

BROADWATER CAPITAL MANAGEMENT LLC

TRUST BUT VERIFY

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