Saul A. 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.
Saul Armando Garcia II, CFP®, who also goes by Saul Armando Garcia II, was a registered financial professional .
Saul is a previously registered financial professional and started their career in finance in 2007. Saul had worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2015
Experience
January 25, 2018 - November 4, 2024
GAGNI WEALTH MANAGEMENT LLC
July 12, 2017 - January 2, 2018
SIGNATOR INVESTORS, INC.
September 30, 2016 - January 2, 2018
SIGNATOR INVESTORS, INC.
May 24, 2016 - July 18, 2016
ALAMO INSURANCE & WEALTH MANAGEMENT
July 9, 2007 - August 31, 2007
OSAIC FS, INC.
January 22, 2007 - March 28, 2007
TRANSAMERICA FINANCIAL ADVISORS, LLC
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
GAGNI WEALTH MANAGEMENT LLC
CRD#: 169527 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 264 |
| AUM (Assets Under Management) | $ 57,433,326 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
