Christopher J. Garcia

EAGLE POINT SECURITIES LLC

Greenwich, CT 06830

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CRD#: 4692339

Professional summary

Christopher Johannes Garcia is a registered financial professional currently at EAGLE POINT SECURITIES LLC located in Greenwich, Connecticut.

Christopher is registered as a RR (Registered Representative) and started their career in finance in 2003. Christopher has worked at 8 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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) - BD

Click below to view Christopher Johannes Garcia's CRS (Customer Relationship Summary).

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

Current

March 1, 2024 - Present

EAGLE POINT SECURITIES LLC

Office #1: 600 Steamboat Road Suite 202, Greenwich, CT 06830

CRD#: 324528

Greenwich, CT

Past

May 16, 2023 - March 1, 2024

WEALTHFORGE SECURITIES, LLC

CRD#: 152550

RICHMOND, VA

Past

September 28, 2015 - May 11, 2023

PREFERRED CAPITAL SECURITIES, LLC

CRD#: 169719

ATLANTA, GA

Past

January 3, 2011 - July 31, 2015

STRATCAP SECURITIES, LLC

CRD#: 151152

NEW YORK, NY

Past

June 11, 2007 - December 6, 2010

CAPITAL CLIENT GROUP, INC.

CRD#: 6247

IRVINE, CA

Past

July 25, 2005 - April 26, 2007

LPL FINANCIAL LLC

RIA

CRD#: 6413

SAN DIEGO, CA

Past

July 25, 2005 - April 26, 2007

LPL FINANCIAL LLC

CRD#: 6413

SAN DIEGO, CA

Past

October 16, 2003 - July 6, 2004

OSAIC FA, INC.

RIA

CRD#: 3978

LA JOLLA, CA

Past

August 18, 2003 - July 6, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

August 18, 2003 - July 6, 2004

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(4/12/2024)

Arizona
(3/1/2024)

California
(3/1/2024)

Colorado
(3/1/2024)

Hawaii
(4/12/2024)

Idaho
(3/1/2024)

Montana
(3/1/2024)

Nevada
(3/1/2024)

New Mexico
(4/12/2024)

Oregon
(3/1/2024)

Utah
(3/1/2024)

Washington
(3/1/2024)

Wyoming
(3/1/2024)

Exams

State Security Law Exam

IAR

Series 66

Date: 9/30/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/14/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EAGLE POINT SECURITIES LLC

CRD#: 324528 / SEC#: , 8-71048

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

600 Steamboat Road Suite 202, Greenwich, CT 06830

Mailing Address

600 Steamboat Road Suite 202, Greenwich, CT 06830

Phone number

(203) 340-8565

Established

Delaware since 11/29/2022

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
EAGLE POINT HOLDINGS LP	SOLE MEMBER
CHUNG, MICHAEL NMN	FINOP/PFO	5739877
DAIGLE, JENNIFFER ALYCE	VICE PRESIDENT	2620553
DOHERTY, JAMES HUGH	PRINCIPAL OPERATIONS OFFICER (POO)	4197747
FOX, GERHARD ROBERT	CHIEF COMPLIANCE OFFICER	2796860
ROTH, JOSEPH HARRIS	PRESIDENT	7673254

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.

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Advisor Monitoring

Firm Stability Insights

Christopher J. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christopher Johannes Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

WEALTHFORGE SECURITIES, LLC

PREFERRED CAPITAL SECURITIES, LLC

STRATCAP SECURITIES, LLC

CAPITAL CLIENT GROUP, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/30/2003

SIE

Date: 10/1/2018

Series 7

Date: 8/14/2003

FINRA

Current Firm

EAGLE POINT SECURITIES LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

EAGLE POINT SECURITIES LLC

TRUST BUT VERIFY

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