Hugo D. 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.
Hugo Daniel Garcia, who also goes by Hugo D Garcia, Hugo Garcia, Hugo Daniel Garcia - Picado, Hugo Daniel Garcia-picado, was a registered financial professional .
Hugo is a previously registered financial professional and started their career in finance in 2004. Hugo had worked at 4 firms and has passed the Series 66 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
October 16, 2012 - February 5, 2013
VECTORGLOBAL WMG
October 28, 2011 - September 11, 2012
MORGAN STANLEY
October 28, 2011 - September 11, 2012
MORGAN STANLEY
October 19, 2009 - June 17, 2010
HAPOALIM SECURITIES USA, INC.
April 22, 2004 - October 28, 2009
UBS INTERNATIONAL INC.
January 6, 2004 - October 28, 2009
UBS INTERNATIONAL INC.
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
Current Firm
VECTORGLOBAL WMG
CRD#: 32396 / SEC#: , 8-45715
Contact information
FINRA licenses (22 States and Territories)
Disclosures
| Regulatory Event | 3 |
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.
