James P. Garcia
Professional summary
James Phillip Garcia was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
James is a previously registered financial advisor and started their career in finance in 2000. Prior to being barred, James had worked at 7 firms, which includes MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, WELLS FARGO INVESTMENTS LLC, WAMU INVESTMENTS INC., U.S. BANCORP INVESTMENTS INC., QUICK & REILLY INC., WELLS FARGO CLEARING SERVICES LLC, PRUDENTIAL EQUITY GROUP LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 22, 2010 - October 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 21, 2010 - October 7, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 27, 2005 - September 27, 2010
WELLS FARGO INVESTMENTS, LLC
September 27, 2005 - September 27, 2010
WELLS FARGO INVESTMENTS, LLC
May 21, 2004 - October 5, 2005
WAMU INVESTMENTS, INC.
May 21, 2004 - October 5, 2005
WAMU INVESTMENTS, INC.
September 11, 2003 - May 20, 2004
U.S. BANCORP INVESTMENTS, INC.
April 2, 2003 - September 11, 2003
QUICK & REILLY, INC.
April 2, 2003 - September 11, 2003
QUICK & REILLY, INC.
February 13, 2002 - April 14, 2003
WAMU INVESTMENTS, INC.
December 15, 2000 - February 25, 2002
WELLS FARGO CLEARING SERVICES, LLC
January 20, 2000 - December 20, 2000
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
CRD#: 7691 / SEC#: 801-14235, 8-7221
Contact information
SEC notice filing (49 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BAC NORTH AMERICA HOLDING COMPANY | SHAREHOLDER | |
| AXELROD, SUSAN F | CHIEF COMPLIANCE OFFICER | 6949587 |
| FAHMY, NANCY MONIR | DIRECTOR | 2689751 |
| GELLENE, MATTHEW THOMAS | DIRECTOR | 1977160 |
| HANS, LINDSAY DENARDO | STATE DESIGNATED PRINCIPAL & DIRECTOR | 4429443 |
| HEATON, DAVID CARLETON JR | CHIEF LEGAL OFFICER | 5972432 |
| MOONEY, SARA RATHBONE | CHIEF FINANCIAL OFFICER | 7616382 |
| SABBIA, LORNA ROSE | DIRECTOR | 1873495 |
| SANTANNA, VINCENT C. | CHIEF OPERATIONS OFFICER & FINOP | 5290525 |
| SCHIMPF, ERIC A | DIRECTOR & CHIEF EXECUTIVE OFFICER, STATE DESIGNATED PRINCIPAL | 2494318 |
Regulatory assets under management
| Total Number of Accounts | 3,085,811 |
| AUM (Assets Under Management) | $ 1,511,090,925,436 |
Disclosures
| Regulatory Event | 610 |
| Civil Event | 4 |
| Arbitration | 878 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2024 | ||
| 08/24/2023 | ||
| 01/27/2023 |
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.
