Fernando Garcia

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CRD#: 4421432

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.

Fernando Garcia was a registered financial professional .

Fernando is a previously registered financial professional and started their career in finance in 2001. Fernando had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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

July 22, 2024 - August 7, 2024

FORTHRIGHT CAPITAL ADVISORY

RIA

CRD#: 323596

LAS VEGAS, NV

Past

August 16, 2012 - March 21, 2017

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WALNUT, CA

Past

June 10, 2009 - July 25, 2012

AMERICAN FIDELITY SECURITIES, INC.

CRD#: 11852

OKLAHOMA CITY, OK

Past

December 13, 2007 - May 18, 2009

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

NEWPORT BEACH, CA

Past

October 1, 2007 - December 7, 2007

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

ORANGE, CA

Past

June 5, 2007 - December 7, 2007

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

ORANGE, CA

Past

December 1, 2005 - April 16, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

December 1, 2005 - April 16, 2007

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

June 15, 2004 - December 31, 2005

CITISTREET EQUITIES LLC

CRD#: 7447

SOMERSET, NJ

Past

February 9, 2002 - April 17, 2003

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

February 9, 2002 - April 17, 2003

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

July 3, 2001 - February 13, 2002

MONY SECURITIES CORPORATION

CRD#: 4386

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".

FORTHRIGHT CAPITAL ADVISORY

CRD#: 323596 / SEC#: 801-128191

RIA

Registered Investment Advisory firm - (7/25/2023 Approved)

Nevada

Registered Investment Advisory firm - (9/29/2023 Terminated)

Ohio

Registered Investment Advisory firm - (9/14/2023 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 66

Date: 8/30/2002

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/3/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 3/21/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/23/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/2/2001

Investment Company Products/Variable Contracts Representative Examination

Current Firm

FORTHRIGHT CAPITAL ADVISORY

CRD#: 323596 / SEC#: 801-128191

RIA

Registered Investment Advisory firm - (7/25/2023 Approved)

Nevada

Registered Investment Advisory firm - (9/29/2023 Terminated)

Ohio

Registered Investment Advisory firm - (9/14/2023 Terminated)

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Contact information

Main Address

7251 W Lake Mead Blvd, Ste 300, Las Vegas, NV 89128

Mailing Address

Phone number

(725) 712-3016

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (27 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORTHRIGHT CAPITAL ADVISORY ADV PART 2A (10/9/2025)

Regulatory assets under management

Total Number of Accounts	882
AUM (Assets Under Management)	$ 64,985,533

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

Fernando Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

CUNA BROKERAGE SERVICES, INC.

AMERICAN FIDELITY SECURITIES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

CITISTREET EQUITIES LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

MONY SECURITIES CORPORATION

Primary Firm SEC Registration

FORTHRIGHT CAPITAL ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Date: 8/30/2002

Series 63

Date: 7/3/2001

SIE

Date: 3/21/2017

Series 7

Date: 12/23/2002

Series 6

Date: 7/2/2001

Current Firm

FORTHRIGHT CAPITAL ADVISORY

Contact information

SEC notice filing (27 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

FORTHRIGHT CAPITAL ADVISORY

TRUST BUT VERIFY

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