Jason J. Garcia
Professional summary
Jason John Garcia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Jason is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Jason had worked at 5 firms, which includes WALLSTREET*E FINANCIAL SERVICES INC., MERRIMAC CORPORATE SECURITIES INC., ALLEN DOUGLAS SECURITIES INC., LADENBURG THALMANN & CO. INC., LADENBURG CAPITAL MANAGEMENT INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 28, 2008 - October 24, 2008
WALLSTREET*E FINANCIAL SERVICES, INC.
March 29, 2004 - June 12, 2014
MERRIMAC CORPORATE SECURITIES, INC.
January 29, 2004 - April 28, 2004
ALLEN DOUGLAS SECURITIES, INC.
November 20, 2002 - September 26, 2003
LADENBURG THALMANN & CO. INC.
July 9, 1999 - November 20, 2002
LADENBURG CAPITAL MANAGEMENT INC.
State Registrations and Notice Filings
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Exams
Current Firm
WALLSTREET*E FINANCIAL SERVICES, INC.
CRD#: 43896 / SEC#: , 8-50464
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 1 |
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