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DG

David J. Garcia

Some features on this profile are disabled
CRD#: 4598991
DG

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.

David Joseph Garcia, who also goes by Dave Garcia, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2003. David had worked at 5 firms and has passed the Series 66 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dave 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.
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

August 17, 2007 - March 23, 2013

COMPASS ADVISORY PARTNERS LLC

RIA
CRD#: 119377
BRENTWOOD, TN
Past

April 3, 2007 - May 8, 2008

COMPASS EFFICIENT MODEL PORTFOLIOS, LLC

RIA
CRD#: 125568
BRENTWOOD, TN
Past

August 3, 2005 - November 9, 2007

FSC SECURITIES CORPORATION

RIA
CRD#: 7461
BRENTWOOD, TN
Past

June 23, 2005 - October 29, 2012

FSC SECURITIES CORPORATION

BD
CRD#: 7461
BRENTWOOD, TN
Past

March 1, 2004 - March 8, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
FRANKLIN, TN
Past

January 8, 2003 - March 8, 2005

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 8, 2003 - March 8, 2005

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/27/2003
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 1/7/2003
General Securities Representative Examination

Current Firm

CA
COMPASS ADVISORY PARTNERS LLC
ASSET BENEFIT RESOURCES | WAKEFIELD VENTURE GROUP | THE JERRY CRITES FINANCIAL GROUP | MCKINNEY FINANCIAL | JOURNEY FINANCIAL PLANNING | FIDELIS FINANCIAL STRATEGIES | CRITES, JERRY KEITH | CRITES, JERRY K. | CORLEY/KENT GROUP | COMPASS FINANCIAL GROUP | COMPASS ADVISORY PARTNERS LLC | COMPASS ADVISORY GROUP | CANNON FINANCIAL

CRD#: 119377 / SEC#: 801-89171

RIA
Registered Investment Advisory firm - (10/1/2024 Terminated)
Georgia
Registered Investment Advisory firm - (6/19/2009 Terminated)
Kentucky
Registered Investment Advisory firm - (4/16/2015 Terminated)
Louisiana
Registered Investment Advisory firm - (4/20/2015 Terminated)
Tennessee
Registered Investment Advisory firm - (9/24/2024 Approved)
Texas
Registered Investment Advisory firm - (4/16/2015 Terminated)
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Contact information

Main Address
480 One Eleven Place, Cookeville, TN 38506
Mailing Address
Phone number
(931) 400-0012
Established
Firm type
Fiscal year end
# of Employees
15

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

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.

Company Information

COMPASS ADVISORY PARTNERS LLC

CRD#: 119377

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