Richard J. Garcia

NAVY FEDERAL INVESTMENT SERVICES

Highlands Ranch, CO

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CRD#: 5237670

Professional summary

Richard Jaime Garcia, who also goes by Rick J Garcia, is a registered financial advisor currently at NAVY FEDERAL INVESTMENT SERVICES, LLC located in Highlands Ranch, Colorado.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Richard has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick J Garcia

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) - RIA

Click below to view Richard Jaime Garcia's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Richard Jaime Garcia's CRS (Customer Relationship Summary).

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

April 22, 2019 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

RIA

CRD#: 138459

Highlands Ranch, CO

Current

April 2, 2019 - Present

NAVY FEDERAL INVESTMENT SERVICES, LLC

Office #1: 1007 Electric Ave, Vienna, VA 22180

RIA

CRD#: 138459

Vienna, VA

Past

November 1, 2013 - March 31, 2019

CIM SECURITIES, LLC

CRD#: 120852

PALMER, AK

Past

March 13, 2008 - March 8, 2012

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

CRD#: 40178

DENVER, CO

Past

February 13, 2008 - March 10, 2008

EQUITABLE ADVISORS, LLC

CRD#: 6627

DENVER, CO

Past

November 13, 2006 - January 15, 2008

CHARLES SCHWAB & CO., INC.

CRD#: 5393

ENGLEWOOD, CO

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".

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

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.

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

Colorado
(4/2/2019)

IAR

Colorado
(4/22/2019)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/19/2019

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 3/3/2007

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/10/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

NAVY FEDERAL BROKERAGE SERVICES LLC | NAVY FEDERAL INVESTMENT SERVICES, LLC | NAVY FEDERAL BROKERAGE SERVICES, LLC

CRD#: 138459 / SEC#: 801-68067, 8-67161

RIA

Registered Investment Advisory firm - SEC (6/21/2007 Approved)

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

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Contact information

Main Address

1007 Electric Ave, Vienna, VA 22180

Mailing Address

1007 Electric Ave, Vienna, VA 22180

Phone number

(877) 221-8108

Established

Virginia since 09/06/2005

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

176

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

NFIS 2A DISCLOSURE BROCHURE (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
NAVY FEDERAL FINANCIAL GROUP	OWNER
ROSSON, TIMOTHY DAVID	FINOP / PRINCIPAL FINANACIAL OFFICER	7152744
WEISBERG, STEVEN LESLIE	CHIEF COMPLIANCE OFFICER / VP COMPLIANCE, LEGAL & RISK & OPERATIONS	6268061
YOUNG, DIANE	CHIEF OPERATING OFFICER	3098010

Regulatory assets under management

Total Number of Accounts	7,472
AUM (Assets Under Management)	$ 1,713,608,579

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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Richard J. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Jaime Garcia's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Richard Jaime Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

NAVY FEDERAL INVESTMENT SERVICES, LLC

CIM SECURITIES, LLC

JACKSON NATIONAL LIFE DISTRIBUTORS LLC

EQUITABLE ADVISORS, LLC

CHARLES SCHWAB & CO., INC.

Primary Firm SEC Registration

NAVY FEDERAL INVESTMENT SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/19/2019

Series 63

Date: 3/3/2007

SIE

Date: 10/1/2018

Series 7

Date: 11/10/2006

FINRA

Current Firm

NAVY FEDERAL INVESTMENT SERVICES, LLC

Contact information

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

Red Flags

Company Information

NAVY FEDERAL INVESTMENT SERVICES, LLC

TRUST BUT VERIFY

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