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DG

Daniel G. Garcia

Some features on this profile are disabled
CRD#: 3088833
DG

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.

Daniel Gerardo Garcia was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 1998. Daniel had worked at 4 firms and has passed the Series 63, Series 7TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 8, 2020 - December 31, 2021

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

January 8, 2018 - December 31, 2021

USAA INVESTMENT SERVICES COMPANY

RIA
CRD#: 5475
San Antonio, TX
Past

March 31, 2009 - October 17, 2016

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

April 25, 2005 - June 8, 2020

USAA FINANCIAL ADVISORS, INC.

BD
CRD#: 129035
SAN ANTONIO, TX
Past

April 22, 2005 - January 8, 2018

USAA FINANCIAL PLANNING SERVICES

RIA
CRD#: 106352
Helotes, TX
Past

May 21, 1999 - April 26, 2005

USAA INVESTMENT SERVICES COMPANY

BD
CRD#: 5475
SAN ANTONIO, TX
Past

July 17, 1998 - April 23, 1999

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, 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".
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)
Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)
Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/7/1998
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 2/2/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/16/1998
General Securities Representative Examination

Current Firm

USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT SERVICES COMPANY
USAA INVESTMENT MANAGEMENT CO. | USAA WEALTH MANAGEMENT | USAA INVESTMENTS | USAA INVESTMENT SERVICES COMPANY | USAA INVESTMENT MANAGEMENT COMPANY

CRD#: 5475 / SEC#: 801-126328, 8-41241

RIA
Registered Investment Advisory firm - SEC (8/3/2022 Approved)
Arizona
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)
Colorado
Registered Investment Advisory firm - SEC (8/24/2022 Terminated)
Florida
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)
Texas
Registered Investment Advisory firm - SEC (8/19/2022 Terminated)
BD
Broker-Dealer Firm Regulated by FINRA (Dallas district office)
PREMIUM
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Contact information

Main Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Mailing Address
9800 Fredericksburg Road, San Antonio, TX 78288-0227
Phone number
(800) 531-7960
Established
Delaware since 09/01/1988
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
152

SEC notice filing (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

ISCO PART2A INVESTMENT SERVICES BROCHURE MAY 2025 (5/29/2025)
ISCO FOMR ADV PART 2B BROCHURE SUPPLEMENT MARCH 2025 (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
USAA INVESTMENT CORPORATION (PARENT CO.)SHAREHOLDER
BEALL, KEVIN DOUGLASVICE PRESIDENT, DIRECTOR4202452
ECK, FRANK THOMAS IVSECRETARY7979835
FLORES, JENNIFER MARGRETFINOP AND PRINCIPAL FINANCIAL OFFICER4175069
HANKS, KARE ELIZABETHDIRECTOR, VICE PRESIDENT2883762
MUIR, JAMES DYERCHIEF COMPLIANCE OFFICER2801996
PEREZ-ROSSELLO, MADELINE IVETTEASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER4033239
STORK, MARY ELIZABETHDIRECTOR2960253
WHITE, WILLIAM SWEENEYPRESIDENT, VICE-CHAIRMAN, DIRECTOR4843743

Disclosures

Regulatory Event1
Arbitration4

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.

Company Information

USAA INVESTMENT SERVICES COMPANY

USAA INVESTMENT SERVICES COMPANY

CRD#: 5475

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