Carolina Garcia

WEALTHSPIRE RETIREMENT ADVISORY

Maitland, FL 32751

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CRD#: 2947727

Professional summary

Carolina Garcia, who also goes by Carolina R Garcia, Carolina Garcia Herrera, is a registered financial advisor currently at WEALTHSPIRE RETIREMENT ADVISORY located in Maitland, Florida.

Carolina is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1999. Carolina has worked at 11 firms and has passed the Series 65, Series 63, Series 99TO, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carolina R Garcia | Carolina Garcia Herrera

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 Carolina 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

August 29, 2024 - Present

WEALTHSPIRE RETIREMENT ADVISORY

Office #1: 1050 Maitland Center Commons Suite 360, Maitland, FL 32751

RIA

CRD#: 121254

Maitland, FL

Past

November 20, 2023 - July 17, 2024

MUTUAL OF AMERICA SECURITIES LLC

CRD#: 27878

Boca Raton, FL

Past

December 18, 2019 - November 7, 2023

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Hypoluxo, FL

Past

November 25, 2019 - November 7, 2023

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

September 13, 2016 - November 13, 2019

NATIONWIDE INVESTMENT ADVISORS, LLC

RIA

CRD#: 142373

COLUMBUS, OH

Past

June 6, 2016 - November 13, 2019

NATIONWIDE INVESTMENT SERVICES CORPORATION

CRD#: 7110

COLUMBUS, OH

Past

June 27, 2015 - May 17, 2016

HSBC SECURITIES (USA) INC.

CRD#: 19585

PALM BEACH GARDENS, FL

Past

October 6, 2008 - September 15, 2010

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

BOYNTON BEACH, FL

Past

May 29, 2007 - August 22, 2008

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOYNTON BEACH, FL

Past

December 19, 2001 - May 29, 2007

CITICORP INVESTMENT SERVICES

CRD#: 23988

BOYNTON BEACH, FL

Past

June 21, 1999 - April 3, 2001

IVY DISTRIBUTORS, INC.

CRD#: 16496

OVERLAND PARK, KS

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".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 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

Florida
(8/29/2024)

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

IAR

Series 65

Date: 9/12/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/25/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 11/22/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/27/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

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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Carolina Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MUTUAL OF AMERICA SECURITIES LLC

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

NATIONWIDE INVESTMENT ADVISORS, LLC

NATIONWIDE INVESTMENT SERVICES CORPORATION

HSBC SECURITIES (USA) INC.

TRUIST INVESTMENT SERVICES, INC.

CITIGROUP GLOBAL MARKETS INC.

CITICORP INVESTMENT SERVICES

IVY DISTRIBUTORS, INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 65

Date: 9/12/2016

Series 63

Date: 7/25/2015

Series 99TO

Date: 11/22/2023

SIE

Date: 10/1/2018

Series 6

Date: 6/27/2015

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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