Victor A. Garcia

GRACE CAPITAL MANAGEMENT

Austin, TX 78759

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CRD#: 4176530

Professional summary

Victor Anthony Garcia, CFP®, who also goes by Tony Garcia, VIctor A Garcia, is a registered financial advisor currently at GRACE CAPITAL MANAGEMENT, LLC located in Austin, Texas.

Victor is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Victor has worked at 2 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Garcia | Victor A 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victor Anthony 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: 2003

Experience

Current

November 21, 2025 - Present

GRACE CAPITAL MANAGEMENT, LLC

Office #1: 11651 Jollyville Road Suite 300, Austin, TX 78759

RIA

CRD#: 150054

Austin, TX

Past

June 2, 2000 - October 25, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

GEORGETOWN, TX

Past

May 16, 2000 - October 25, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

GEORGETOWN, TX

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".

GRACE CAPITAL MANAGEMENT, LLC

CRD#: 150054 / SEC#: 801-111020

RIA

Registered Investment Advisory firm - (8/17/2017 Approved)

Texas

Registered Investment Advisory firm - (9/11/2017 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.

Highlighted states indicate IAR registrations

IAR

Texas
(11/21/2025)

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 66

Date: 6/1/2000

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 10/14/2004

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 5/15/2000

General Securities Representative Examination

Current Firm

GRACE CAPITAL MANAGEMENT, LLC

CRD#: 150054 / SEC#: 801-111020

RIA

Registered Investment Advisory firm - (8/17/2017 Approved)

Texas

Registered Investment Advisory firm - (9/11/2017 Terminated)

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Contact information

Main Address

11651 Jollyville Road Suite 300, Austin, TX 78759

Mailing Address

Phone number

(512) 485-1800

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

GCM 2025 ANNUAL AMENDED ADV PART 2A: FIRM BROCHURE (3/31/2025)

GCM 2025 ANNUAL AMENDED WRAP BROCHURE (3/31/2025)

Regulatory assets under management

Total Number of Accounts	477
AUM (Assets Under Management)	$ 142,485,476

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

Victor A. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

GRACE CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/1/2000

SIE

Date: 10/1/2018

Series 31

Date: 10/14/2004

Series 7

Date: 5/15/2000

Current Firm

GRACE CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

GRACE CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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