Lukas B. Garcia
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.
Lukas Banning Garcia, who also goes by Lukas Banning Garcia, Lukas Garcia, Luke Garcia, was a registered financial professional .
Lukas is a previously registered financial professional and started their career in finance in 2003. Lukas had worked at 9 firms and has passed the Series 63, Series 66, Series 82TO, SIE, Series 6 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
April 29, 2020 - January 4, 2021
BRIDGE CAPITAL ASSOCIATES, INC.
December 7, 2017 - May 9, 2018
VANGUARD MARKETING CORPORATION
October 23, 2009 - January 10, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - January 10, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 1, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 1, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 21, 2007 - July 14, 2008
CHASE INVESTMENT SERVICES CORP.
September 21, 2007 - July 14, 2008
CHASE INVESTMENT SERVICES CORP.
February 16, 2007 - September 11, 2007
TD AMERITRADE, INC.
January 29, 2007 - September 11, 2007
TD AMERITRADE, INC.
April 15, 2005 - August 16, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 4, 2004 - August 16, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 25, 2003 - October 26, 2004
AMERIPRISE ADVISOR SERVICES, INC.
July 7, 2003 - November 25, 2003
METROPOLITAN LIFE INSURANCE COMPANY
July 7, 2003 - November 25, 2003
MSI FINANCIAL SERVICES, INC.
January 3, 2003 - March 10, 2003
CHASE INVESTMENT SERVICES CORP.
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 82TO
Date: 5/26/2020
Limited Representative-Private Securities OfferingsCurrent Firm
BRIDGE CAPITAL ASSOCIATES, INC.
CRD#: 143475 / SEC#: , 8-67570
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WISNIEWSKI, CAROLINE ELIZABETH | PRESIDENT, CEO, CFO, FINOP, CHIEF COMPLIANCE OFFICER, AMLCO | 1463513 |
Disclosures
| Regulatory Event | 2 |
| Civil Event | 1 |
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.
