EG
Emilio Garcia
TRANSAMERICA FINANCIAL ADVISORS
Plano, TX 75074
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CRD#: 5077462
EG
Professional summary
Emilio Garcia is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Plano, Texas.
Emilio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Emilio has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
"Sales of insurance and non insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." Symetra / 0622-Present / Investment Related: No /777 108th Avenue NE, Suite 1200 Bellevue, WA 98004 / Agent / Agent for group life / Hrs. Work Monthly: 2 / Sec Trading Hrs: 0 / quote company group policies PaoPlex LLC / 0422-Present / Investment Related: No / 3504 Larios Ct. McKinney, TX 75070 / Partner / Car Rentals through Turo / Hrs. Work Monthly: 10 / Sec Trading Hrs: 1 / Review rentals and payments Xyndoo LLC / 0721-Present / Investment Related: no / 11625 Custer Rd. #110-#113 Frisco, TX 75035 / Owner / E-commerce / Hrs. Work Monthly: 10 / Sec Trading Hrs.: 0 / Review sales and purchases surrounding Amazon storefront that involves buying items at discount stores and reselling it on Amazon EMILIO GARCIA/P&C AGENT; 02/22/2016; YES INV RELATED; AGENT; 7429 AUDELIA LN, MCKINNEY, TX 75070; PROPERTY AND CASUALTY INSURANCE; 4 HRS/MO; 0 TRADING; REFER PEOPLE FOR P&C. J GRANT INSURANCE LLC POSITION: referral agent NATURE: P&C Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: 730 E. Park Blvd, Suite 104B, Plano TX 75074, United States DESCRIPTION: Refer potential clients ALLSTATE BENEFITS GROUP HEALTH POSITION: referrals NATURE: Group Health Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/11/2023 ADDRESS: 1776 American Heritage Life Dr., Jacksonville, FL 32224, United States DESCRIPTION: provide referrals of corporate clients ERC SPECIALISTS POSITION: referral NATURE: Employee Retention Credit processing INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/13/2023 ADDRESS: 560 E. Timpanogos Circle, Orem UT 84097, United States DESCRIPTION: referral clients MOMEN2M CONSULTING LLC POSITION: Sole proprietor NATURE: Owner INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2022 ADDRESS: 4141 Frisco Green Ave, APT 367, Frisco TX 75034, United States DESCRIPTION: Monitor activities of delivery and receipt of vehicles TEXAS TOUGH CONSULTING LLC POSITION: CEO NATURE: online sales of lifting sling, straps and more INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/15/2024 ADDRESS: 4141 Frisco Green Ave, APT 261, Frisco TX 75034, United States DESCRIPTION: weekly review of sales report and supervision of operations team WealthWave INVESTMENT RELATED YES SMD PLANO TX 01/2016 HEARTLAND INSTITUTE OF FINANCIAL EDUCATION POSITION: Certified Financial Educator NATURE: Certification for financial educators INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 06/25/2025 ADDRESS: 8301 E Prentice Ave, Greenwood Village CO 80111, United States DESCRIPTION: Teach classes for financial education for persons and entities EMILIO GARCIA POSITION: Tax preparer - Partner NATURE: Tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 1 START DATE: 08/08/2025 ADDRESS: 7950 Legacy Dr, Suite 400, Plano TX 75024, United States DESCRIPTION: Tax preparation fro clients
CRS (Client Relationship Summary) - RIA
Click below to view Emilio Garcia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Emilio 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®
NoneExperience
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 730 E Park Blvd Suite 104, Plano, TX 75074RIA
BD
CRD#: 16164
Plano, TX
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 730 E Park Blvd Suite 104, Plano, TX 75074RIA
BD
CRD#: 16164
Plano, TX
Past
July 9, 2008 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
PLANO, TX
Past
February 9, 2006 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
PLANO, TX
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Arkansas(4/15/2019)
RR
California(11/8/2023)
RR
Florida(6/30/2021)
RR
Massachusetts(6/3/2025)
RR
Pennsylvania(5/1/2020)
RR
Texas(1/6/2012)
IAR
Texas(1/6/2012)
RR
Washington(4/22/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 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.
