DG
David G. Garcia
REGAL ADVISORY SERVICES
GLENVIEW, IL 60025-3771
Some features on this profile are disabled
CRD#: 3197680
DG
Professional summary
David George Garcia is a registered financial advisor currently at REGAL ADVISORY SERVICES, INC. located in Glenview, Illinois and REGAL SECURITIES, INC. located in Glenview, Illinois.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. David has worked at 2 firms and has passed the Series 66, Series 63, Series 79TO, Series 99TO, SIE, Series 7, Series 24 and Series 4 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.
CRS (Client Relationship Summary) - RIA
Click below to view David George Garcia's 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®
NoneExperience
Current
June 29, 2010 - Present
REGAL ADVISORY SERVICES, INC.
Office #1: 950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771RIA
CRD#: 123842
GLENVIEW, IL
Current
April 13, 1999 - Present
REGAL SECURITIES, INC.
Office #1: 950 N. Milwaukee Ave 102, Glenview, IL 60025BD
CRD#: 7297
GLENVIEW, IL
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".
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.
CRD#: 123842 / SEC#: 801-71619
RIA
Registered Investment Advisory firm - (7/12/2010 Approved)Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (7/13/2010 Terminated)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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(1/5/2017)
RR
Alaska(1/5/2017)
RR
Arizona(1/5/2017)
RR
Arkansas(1/28/2010)
RR
California(1/5/2017)
RR
Colorado(1/5/2017)
RR
Connecticut(1/5/2017)
RR
Delaware(1/5/2017)
RR
District of Columbia(1/5/2017)
RR
Florida(1/28/2010)
RR
Georgia(1/5/2017)
RR
Hawaii(1/5/2017)
RR
Idaho(1/5/2017)
RR
Illinois(4/26/1999)
IAR
Illinois(6/29/2010)
RR
Indiana(1/5/2017)
RR
Iowa(1/5/2017)
RR
Kansas(1/5/2017)
RR
Kentucky(1/5/2017)
RR
Louisiana(1/5/2017)
RR
Maine(1/5/2017)
RR
Maryland(1/5/2017)
RR
Massachusetts(1/28/2010)
RR
Michigan(1/28/2010)
RR
Minnesota(1/5/2017)
RR
Mississippi(1/5/2017)
RR
Missouri(1/5/2017)
RR
Montana(1/5/2017)
RR
Nebraska(1/5/2017)
RR
Nevada(1/5/2017)
RR
New Hampshire(1/28/2010)
RR
New Jersey(1/5/2017)
RR
New Mexico(1/28/2010)
RR
New York(1/5/2017)
RR
North Carolina(1/5/2017)
RR
North Dakota(1/5/2017)
RR
Ohio(1/6/2017)
RR
Oklahoma(1/5/2017)
RR
Oregon(1/5/2017)
RR
Pennsylvania(1/5/2017)
RR
Puerto Rico(1/5/2017)
RR
Rhode Island(1/5/2017)
RR
South Carolina(1/5/2017)
RR
South Dakota(1/5/2017)
RR
Tennessee(1/5/2017)
RR
Texas(1/5/2017)
RR
Utah(1/28/2010)
RR
Vermont(1/5/2017)
RR
Virgin Islands(1/5/2017)
RR
Virginia(1/5/2017)
RR
Washington(1/5/2017)
RR
West Virginia(1/5/2017)
RR
Wisconsin(1/5/2017)
RR
Wyoming(1/5/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
RA
REGAL ADVISORY SERVICES, INC.
REGAL ADVISORY SERVICES, INC.
CRD#: 123842 / SEC#: 801-71619
RIA
Registered Investment Advisory firm - (7/12/2010 Approved)Arizona
Registered Investment Advisory firm - (8/14/2012 Terminated)Arkansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Colorado
Registered Investment Advisory firm - (8/2/2010 Terminated)Connecticut
Registered Investment Advisory firm - (7/13/2010 Terminated)Delaware
Registered Investment Advisory firm - (7/13/2010 Terminated)Florida
Registered Investment Advisory firm - (8/14/2012 Terminated)Georgia
Registered Investment Advisory firm - (9/24/2010 Terminated)Hawaii
Registered Investment Advisory firm - (12/31/2010 Terminated)Idaho
Registered Investment Advisory firm - (7/14/2010 Terminated)Illinois
Registered Investment Advisory firm - (8/14/2012 Terminated)Indiana
Registered Investment Advisory firm - (7/13/2010 Terminated)Iowa
Registered Investment Advisory firm - (7/13/2010 Terminated)Kansas
Registered Investment Advisory firm - (8/14/2012 Terminated)Kentucky
Registered Investment Advisory firm - (7/13/2010 Terminated)Louisiana
Registered Investment Advisory firm - (7/21/2010 Terminated)Massachusetts
Registered Investment Advisory firm - (8/3/2010 Terminated)Minnesota
Registered Investment Advisory firm - (7/14/2010 Terminated)Mississippi
Registered Investment Advisory firm - (8/14/2012 Terminated)Missouri
Registered Investment Advisory firm - (7/13/2010 Terminated)Nebraska
Registered Investment Advisory firm - (7/14/2010 Terminated)Nevada
Registered Investment Advisory firm - (9/20/2012 Terminated)New Hampshire
Registered Investment Advisory firm - (7/13/2010 Terminated)New Jersey
Registered Investment Advisory firm - (9/21/2012 Terminated)New Mexico
Registered Investment Advisory firm - (7/13/2010 Terminated)North Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Ohio
Registered Investment Advisory firm - (7/13/2010 Terminated)Oklahoma
Registered Investment Advisory firm - (8/14/2012 Terminated)Oregon
Registered Investment Advisory firm - (7/15/2010 Terminated)Pennsylvania
Registered Investment Advisory firm - (7/14/2010 Terminated)South Carolina
Registered Investment Advisory firm - (7/13/2010 Terminated)Tennessee
Registered Investment Advisory firm - (8/12/2010 Terminated)Texas
Registered Investment Advisory firm - (8/14/2012 Terminated)Utah
Registered Investment Advisory firm - (8/12/2010 Terminated)Vermont
Registered Investment Advisory firm - (8/14/2012 Terminated)Virginia
Registered Investment Advisory firm - (7/13/2010 Terminated)Washington
Registered Investment Advisory firm - (7/16/2010 Terminated)Wisconsin
Registered Investment Advisory firm - (7/13/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
950 North Milwaukee Avenue Suite 101, Glenview, IL 60025-3771
Mailing Address
Phone number
(877) 488-6537
Established
Firm type
Fiscal year end
# of Employees
24
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 289 |
| AUM (Assets Under Management) | $ 113,536,443 |
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.
