Carlos M. Garcia
Professional summary
Carlos Manuel Garcia was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Carlos Manuel Garcia was a registered financial professional .
Carlos is a previously registered financial professional and started their career in finance in 2002. Carlos had worked at 3 firms and has passed the Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 29, 2006 - April 11, 2007
J.P.R. CAPITAL CORP.
October 13, 2003 - November 19, 2004
REDWOOD TRADING, LLC
June 11, 2002 - February 12, 2003
NETGAIN TRADING, 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 55
Date: 11/8/2002
Limited Representative-Equity Trader ExamCurrent Firm
J.P.R. CAPITAL CORP.
CRD#: 38056 / SEC#: , 8-48061
Contact information
Documents
Disclosures
| Regulatory Event | 15 |
| Arbitration | 1 |
Red Flags
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