Nelson M. 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.
Nelson Manuel Garcia, who also goes by Nelson M Garcia, Nelson Manuel Garcia, Nelson Garcia, was a registered financial professional .
Nelson is a previously registered financial professional and started their career in finance in 2005. Nelson had worked at 7 firms and has passed the Series 66, SIE 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 26, 2016 - July 28, 2016
CCF INVESTMENTS, INC.
February 27, 2014 - October 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 27, 2014 - October 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 1, 2012 - December 18, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 18, 2013
J.P. MORGAN SECURITIES LLC
July 6, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
July 2, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
January 11, 2010 - July 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 23, 2009 - July 9, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 15, 2009 - December 9, 2009
E*TRADE SECURITIES LLC
January 18, 2006 - October 5, 2009
OPPENHEIMER & CO. INC.
July 5, 2005 - October 5, 2009
OPPENHEIMER & CO. INC.
March 30, 2005 - April 26, 2005
TRUIST INVESTMENT SERVICES, INC.
State Registrations and Notice Filings
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Exams
Current Firm
CCF INVESTMENTS, INC.
CRD#: 136571 / SEC#: , 8-67027
Contact information
Documents
Red Flags
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