Humberto R. Garcia

EFG ASSET MANAGEMENT (AMERICAS)

MIAMI, FL 33131

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CRD#: 4179663

Professional summary

Humberto Romeo Garcia JR., who also goes by Humberto Romeo Garcia, is a registered financial advisor currently at EFG ASSET MANAGEMENT (AMERICAS) CORP. located in Miami, Florida and EFG CAPITAL INTERNATIONAL located in Miami, Florida.

Humberto is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Humberto has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Humberto Romeo 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.

CANTABRI ADVISORS LLC; NOT INVT RELATED; P.O. BOX 306, NY, NY 10276; USED FOR FAMILY'S CONSULTING ACTIVITIES; MANAGING MEMBER; APRIL 2008; 8 HOURS PER MONTH, 0 HOURS DURING SEC TRADING HRS; SUPERVISE FAMILY'S CONSULTING ACTIVITIES IN NON-PROFIT SECTOR AND IN ADVISORY TO SMALL, PRIVATELY HELD COMPANIES; NON-INVT RELATED RESEARCH; NOT INVESTMENT RELATED; COMPENSATION BASED ON PRE-NEGOTIATED FIXED AMOUNTS FOR AGREED SERVICES.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Humberto Romeo Garcia JR.'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®

None

Experience

Current

January 7, 2020 - Present

EFG ASSET MANAGEMENT (AMERICAS) CORP.

Office #1: 701 Brickell Avenue Suite 1310, Miami, FL 33131

RIA

CRD#: 158905

MIAMI, FL

Current

December 5, 2019 - Present

EFG CAPITAL INTERNATIONAL

Office #1: 701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867

CRD#: 40118

MIAMI, FL

Past

April 30, 2021 - July 13, 2021

EFG CAPITAL INTERNATIONAL

RIA

CRD#: 40118

MIAMI, FL

Past

November 30, 2018 - July 25, 2019

MIZUHO SECURITIES USA LLC

CRD#: 19647

NEW YORK, NY

Past

October 28, 2016 - November 6, 2018

VALLEY FINANCIAL MANAGEMENT, INC.

RIA

CRD#: 105387

NEW YORK, NY

Past

January 26, 2015 - November 6, 2018

VALLEY FINANCIAL MANAGEMENT, INC.

CRD#: 105387

NEW YORK, NY

Past

October 31, 2008 - September 27, 2010

MACQUARIE CAPITAL (USA) INC.

CRD#: 36368

NEW YORK, NY

Past

June 24, 2002 - March 18, 2005

CMI CAPITAL MARKET INVESTMENT, LLC

CRD#: 46219

NEW YORK, NY

Past

January 18, 2001 - February 1, 2002

UBS SECURITIES LLC

CRD#: 7654

NEW YORK, NY

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".

EFG ASSET MANAGEMENT (AMERICAS) CORP.

EFG ASSET MANAGEMENT (AMERICAS) CORP | EFG ASSET MANAGEMENT (US) CORP | EFG ASSET MANAGEMENT (AMERICAS) CORP.

CRD#: 158905 / SEC#: 801-72773

RIA

Registered Investment Advisory firm - (10/3/2011 Approved)

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

Florida
(12/5/2019)

IAR

Florida
(1/7/2020)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/3/2015

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 10/31/2008

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: 1/26/2015

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/1/2016

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

EFG ASSET MANAGEMENT (AMERICAS) CORP.

EFG ASSET MANAGEMENT (AMERICAS) CORP | EFG ASSET MANAGEMENT (US) CORP | EFG ASSET MANAGEMENT (AMERICAS) CORP.

CRD#: 158905 / SEC#: 801-72773

RIA

Registered Investment Advisory firm - (10/3/2011 Approved)

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Contact information

Main Address

701 Brickell Avenue Suite 1310, Miami, FL 33131

Mailing Address

Phone number

(305) 482-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFGAM FORM ADV 2A OCTOBER 2025 (10/2/2025)

EFGAM WRAP FEE PROGRAM BROCHURE NOVEMBER 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	678
AUM (Assets Under Management)	$ 1,915,401,213

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

Humberto R. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Humberto Romeo Garcia JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

EFG CAPITAL INTERNATIONAL

EFG CAPITAL INTERNATIONAL

MIZUHO SECURITIES USA LLC

VALLEY FINANCIAL MANAGEMENT, INC.

VALLEY FINANCIAL MANAGEMENT, INC.

MACQUARIE CAPITAL (USA) INC.

CMI CAPITAL MARKET INVESTMENT, LLC

UBS SECURITIES LLC

Primary Firm SEC Registration

EFG ASSET MANAGEMENT (AMERICAS) CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 12/3/2015

Series 63

Date: 10/31/2008

SIE

Date: 10/1/2018

Series 7

Date: 1/26/2015

Series 24

Date: 9/1/2016

FINRA

Current Firm

EFG ASSET MANAGEMENT (AMERICAS) CORP.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFG ASSET MANAGEMENT (AMERICAS) CORP.

TRUST BUT VERIFY

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