Gaspar V. Garcia

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CRD#: 3244396

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.

Gaspar Vicente Garcia, who also goes by Gaspar Garcia, was a registered financial professional .

Gaspar is a previously registered financial professional and started their career in finance in 1999. Gaspar had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Gaspar 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)CHURCH OF DIVINE GRACE: NORTH LAUDERDALE, FL, 3/1999, CHRISTIAN CHURCH/PASTOR, LEAD IN PRAYER AND RELIGIOUS SERVICE AND PROVIDE COUNSELING, 1%. 2) GASPAR GARCIA ADVISORS, LLC (DBA): 9/2015-FLORIDA, WEALTH MANAGER/FINANCIAL ADVISOR, CONDUCT MARKETING AND SEMINARS TO IDENTIFY PROSPECTIVE CLIENTS. 3) GASPAR GARCIA INSURANCE: INSURANCE AGENT, FIXED INSURANCE BUSINESS. 4) AUTHOR - CHRISTIAN BOOKS - 04/2008 - ON-GOING - WRITE AND PUBLISH BOOKS REGARDING CHRISTIAN MINISTRY.

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

September 18, 2012 - May 19, 2025

NFSG CORPORATION

RIA

CRD#: 130814

DAVIE, FL

Past

September 6, 2012 - May 19, 2025

NEWBRIDGE SECURITIES CORPORATION

CRD#: 104065

DAVIE, FL

Past

October 9, 2009 - September 20, 2012

RBC CAPITAL MARKETS, LLC

RIA

CRD#: 31194

PLANTATION, FL

Past

October 9, 2009 - September 20, 2012

RBC CAPITAL MARKETS, LLC

CRD#: 31194

PLANTATION, FL

Past

January 16, 2009 - October 9, 2009

J. B. HANAUER & CO.

RIA

CRD#: 6958

PLANTATION, FL

Past

January 9, 2009 - October 9, 2009

J. B. HANAUER & CO.

CRD#: 6958

PLANTATION, FL

Past

December 16, 2008 - January 12, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PEMBROKE PINES, FL

Past

April 26, 2005 - October 13, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

PEMBROKE PINES, FL

Past

March 8, 2005 - January 12, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

PEMBROKE PINES, FL

Past

August 13, 1999 - March 1, 2005

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 4/11/2005

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/11/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/13/1999

General Securities Representative Examination

Current Firm

NFSG CORPORATION

NEWBRIDGE FINANCIAL SERVICES GROUP, INC. | NFSG CORPORATION | NEWBRIDGE FINANCIAL SERVICES, INC.

CRD#: 130814 / SEC#: 801-68448

RIA

Registered Investment Advisory firm - (11/6/2007 Approved)

Arizona

Registered Investment Advisory firm - (11/8/2007 Terminated)

California

Registered Investment Advisory firm - (11/8/2007 Terminated)

Connecticut

Registered Investment Advisory firm - (11/8/2007 Terminated)

Florida

Registered Investment Advisory firm - (12/12/2007 Terminated)

Illinois

Registered Investment Advisory firm - (11/6/2007 Terminated)

Indiana

Registered Investment Advisory firm - (11/8/2007 Terminated)

Nevada

Registered Investment Advisory firm - (12/17/2007 Terminated)

New Jersey

Registered Investment Advisory firm - (11/14/2007 Terminated)

North Carolina

Registered Investment Advisory firm - (11/8/2007 Terminated)

Pennsylvania

Registered Investment Advisory firm - (11/13/2007 Terminated)

Tennessee

Registered Investment Advisory firm - (12/8/2007 Terminated)

Texas

Registered Investment Advisory firm - (11/8/2007 Terminated)

Virginia

Registered Investment Advisory firm - (11/8/2007 Terminated)

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Contact information

Main Address

1200 North Federal Highway Suite 400, Boca Raton, FL 33432

Mailing Address

Phone number

(954) 334-3450

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PART 2A BROCHURE (4/30/2025)

NFSG WRAP FEE PROGRAM BROCHURE (4/30/2025)

Regulatory assets under management

Total Number of Accounts	3,587
AUM (Assets Under Management)	$ 813,494,847

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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Advisor Monitoring

Firm Stability Insights

Gaspar V. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NEWBRIDGE SECURITIES CORPORATION

RBC CAPITAL MARKETS, LLC

RBC CAPITAL MARKETS, LLC

J. B. HANAUER & CO.

J. B. HANAUER & CO.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

EDWARD JONES

Primary Firm SEC Registration

NFSG CORPORATION

State Registrations and Notice Filings

Exams

Series 65

Date: 4/11/2005

Series 63

Date: 8/11/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/13/1999

Current Firm

NFSG CORPORATION

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NFSG CORPORATION

TRUST BUT VERIFY

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