Frank R. Degarcia
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.
Frank Ralph Degarcia, who also goes by Frank Degarcia, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 2000. Frank had worked at 4 firms and has passed the Series 99TO, SIE, Series 7, Series 21 and Series 25 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 21, 2025 - October 28, 2025
TMX ALPHA US, LLC
July 25, 2003 - June 29, 2009
KELLOGG CAPITAL MARKETS, LLC
July 9, 2001 - July 11, 2003
BEAR WAGNER SPECIALISTS LLC
October 1, 2000 - January 25, 2001
ROBB PECK MCCOOEY SPECIALIST CORPORATION
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
Series 99TO
Date: 1/21/2025
Operations Professional ExaminationSeries 21
Date: 10/22/2002
NYSE Front Line Specialist ClerkSeries 25
Date: 12/3/2001
NYSE Trading Assistant ExaminationCurrent Firm
TMX ALPHA US, LLC
CRD#: 329008 / SEC#: , 8-71182
Contact information
FINRA licenses (8 States and Territories)
Documents
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.
