Freddy Garcia

LEFT BRAIN WEALTH MANAGEMENT

NAPERVILLE, IL 60563

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CRD#: 3227457

Professional summary

Freddy Garcia, CFP®, who also goes by Fred Garcia, is a registered financial advisor currently at LEFT BRAIN WEALTH MANAGEMENT, LLC located in Naperville, Illinois and THE LEADERS GROUP, INC. located in Summit, New Jersey.

Freddy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Freddy has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Fred Garcia

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.

1.) CAPITAS FINANCIAL MIDWEST LLC - 8/1/2016 - 3025 Highland Pkwy, Suite 185 Downers Grove, IL 60515 - Agent, capitas is a business partner and product specialist on life insurance products. if I have a client that has a life insurance need capitas will work with me on finding the right solution the product can fixed but can be a variable insurance product also., ins bsn, Invt Rel, 1 hrs/mo; 1 hrs/mo (during trading hours). 2.) LEFT BRAIN WEALTH MANAGEMENT LLC - 8/1/2016 - 215 Shuman Blvd, Suite 304 Naperville, IL 60563 - IAR Rep, I am the registered investment advisor for my clients and receive a fee for assets under management for managing their accounts., IAR bsn, Invt Rel, 160 hrs/mo; 160 hrs/mo (during trading hours). 3) The Leaders Group Broker Dealer Registered Rep Investment related

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Freddy 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®

CFP^®

Certified Financial Planner

Start date: 2011

Experience

Current

August 8, 2016 - Present

LEFT BRAIN WEALTH MANAGEMENT, LLC

Office #1: 215 Shuman Blvd #304, Naperville, IL 60563

RIA

CRD#: 170348

NAPERVILLE, IL

Current

August 10, 2016 - Present

THE LEADERS GROUP, INC.

Office #1: 475 Springfield Ave, Summit, NJ 07901

CRD#: 7447

SOMERSET, NJ

Past

May 18, 1999 - September 7, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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".

LEFT BRAIN WEALTH MANAGEMENT, LLC

LEFT BRAIN WEALTH MANAGEMENT, LLC | LEFTBRAIN WEALTH MANAGEMENT, LLC

CRD#: 170348 / SEC#: 801-113256

RIA

Registered Investment Advisory firm - (5/21/2018 Approved)

Illinois

Registered Investment Advisory firm - (5/21/2018 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.

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

IAR

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

LEFT BRAIN WEALTH MANAGEMENT, LLC

LEFT BRAIN WEALTH MANAGEMENT, LLC | LEFTBRAIN WEALTH MANAGEMENT, LLC

CRD#: 170348 / SEC#: 801-113256

RIA

Registered Investment Advisory firm - (5/21/2018 Approved)

Illinois

Registered Investment Advisory firm - (5/21/2018 Terminated)

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Contact information

Main Address

215 Shuman Blvd #304, Naperville, IL 60563

Mailing Address

Phone number

(630) 517-9300

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

LEFT BRAIN WEALTH MANAGEMENT ADV PART 2A (5/15/2025)

Regulatory assets under management

Total Number of Accounts	650
AUM (Assets Under Management)	$ 310,352,864

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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Firm Stability Insights

Freddy Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

THE LEADERS GROUP, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

STRATEGIC ADVISERS LLC

FIDELITY DISTRIBUTORS COMPANY LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

CITISTREET FINANCIAL SERVICES LLC

CITISTREET EQUITIES LLC

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

LEFT BRAIN WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 10/18/1999

Series 63

Date: 5/27/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/18/2004

Series 6

Date: 5/17/1999

FINRA

Current Firm

LEFT BRAIN WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

LEFT BRAIN WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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