Charles P. 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.
Charles Patrick Garcia was a registered financial professional .
Charles is a previously registered financial professional and started their career in finance in 1997. Charles had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 55, Series 3, Series 7, Series 27, Series 53, Series 4 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
May 3, 2010 - November 26, 2014
BRYANT PARK CAPITAL SECURITIES, INC.
November 4, 2009 - March 5, 2010
LATAM INVESTMENTS, LLC
February 24, 2009 - November 19, 2009
CABRERA CAPITAL MARKETS, LLC
May 3, 2006 - February 13, 2009
VFINANCE INVESTMENTS, INC
August 25, 1997 - July 26, 2007
STERLING FINANCIAL INVESTMENT GROUP, INC.
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 55
Date: 5/1/2000
Limited Representative-Equity Trader ExamCurrent Firm
BRYANT PARK CAPITAL SECURITIES, INC.
CRD#: 20433 / SEC#: , 8-38238
Contact information
FINRA licenses (10 States and Territories)
Direct owners and executive officers
Red Flags
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