Lina M. Garcia
Professional summary
Lina Maria Garcia was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lina is a previously registered financial professional and started their career in finance in 2002. Prior to being barred, Lina had worked at 4 firms, which includes INSIGNEO SECURITIES LLC, UCB FINANCIAL ADVISERS INC., COLONIAL BROKERAGE INC., GOLDMAN SACHS & CO. LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 21, 2010 - September 9, 2021
INSIGNEO SECURITIES, LLC
June 14, 2007 - June 16, 2008
INSIGNEO SECURITIES, LLC
January 2, 2006 - October 28, 2022
UCB FINANCIAL ADVISERS INC.
June 21, 2004 - May 20, 2005
COLONIAL BROKERAGE, INC.
January 1, 2002 - September 3, 2003
GOLDMAN SACHS & CO. LLC
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 7TO
Date: 9/13/2022
General Securities Representative ExaminationCurrent Firm
INSIGNEO SECURITIES, LLC
CRD#: 29249 / SEC#: , 8-44166
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSIGNEO FINANCIAL GROUP LLC | MEMBER - CLASS A | |
| INSIGNEO PUERTO RICO PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| INSIGNEO SECURITIES PARTNERSHIP HOLDINGS LLC | MEMBER - CLASS B | |
| ARANA LANDAETA, MARIELA CECILIA | HEAD OF CLIENT EXPERIENCE | 4830220 |
| ARNETT, GEORGE WASHINGTON III | GENERAL COUNSEL AND DIRECTOR | 1057806 |
| AVERETT, MICHAEL ROBERT | CHIEF REVENUE OFFICER | 5311774 |
| CANINO QUINONES, LIZMARI | HEAD OF SALES SUPERVISION | 6007866 |
| CAULFIELD, JUSTIN PAUL SR | CHIEF COMPLIANCE OFFICER | 5699024 |
| CEDENO, CLAUDIA | BSA | AML OFFICER | 5235772 |
| CHUANG, ERIC C | REGULATORY AFFAIRS OFFICER | 3215724 |
| EFFIO, TAMARIND | BUSINESS DEVELOPMENT OFFICER | 7255243 |
| HENRIQUEZ, RAUL JR | CHAIRMAN OF THE BOARD | 1647412 |
| NUNEZ, FRANCISCO | DIRECTOR | 8017439 |
| POLEMENI PEREZ, MONICA | PRINCIPAL OPERATIONS OFFICER | 4130068 |
| RIESGO, AHMED | CHIEF INVESTMENT OFFICER | 5020318 |
| RIVERA CRUZ, MIGUEL ANGEL | CHIEF ACCOUNTING OFFICER / PRINCIPAL FINANCIAL OFFICER | 3255902 |
| RIVERO, JAVIER | PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTOR | 4498023 |
| WATSON, CHRISTIAN PIERCE | HEAD OF TRADING | 4917370 |
Disclosures
| Regulatory Event | 3 |
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