Christine 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.
Christine Garcia, CFP®, who also goes by Christine Ellen Garcia, Christine Ellen Mcginty, Christine Mcginty Regal, was a registered financial professional .
Christine is a previously registered financial professional and started their career in finance in 2012. Christine had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 5, 2018 - December 22, 2021
TD AMERITRADE, INC.
April 5, 2018 - December 22, 2021
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
April 4, 2018 - December 22, 2021
TD AMERITRADE, INC.
August 18, 2016 - March 27, 2018
J.P. MORGAN SECURITIES LLC
August 18, 2016 - March 27, 2018
J.P. MORGAN SECURITIES LLC
May 12, 2015 - August 19, 2016
STRATEGIC ADVISERS LLC
January 15, 2014 - August 18, 2016
FIDELITY BROKERAGE SERVICES LLC
January 23, 2013 - December 17, 2013
MML INVESTORS SERVICES, LLC
June 15, 2012 - December 17, 2013
MML INVESTORS SERVICES, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TD AMERITRADE, INC.
CRD#: 7870 / SEC#: 801-60469, 8-23395
Contact information
Disclosures
| Regulatory Event | 79 |
| Civil Event | 1 |
| Arbitration | 145 |
Red Flags
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