Stephanie E. Garcia

ALLIED PRIVATE WEALTH

BOCA RATON, FL 33487

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CRD#: 5265526

Professional summary

Stephanie Elizabeth Garcia, who also goes by Stephanie E Garcia, Stephanie Garcia, is a registered financial advisor currently at ALLIED PRIVATE WEALTH located in Boca Raton, Florida.

Stephanie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2009. Stephanie has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Stephanie E Garcia | Stephanie 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 Stephanie Elizabeth 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

March 29, 2024 - Present

ALLIED PRIVATE WEALTH

Office #1: 7700 Congress Ave Suite 3208, Boca Raton, FL 33487

RIA

CRD#: 328952

BOCA RATON, FL

Past

October 4, 2019 - February 20, 2024

SKY ALPHA ASSET ADVISORS

RIA

CRD#: 295839

BOCA RATON, FL

Past

August 17, 2015 - September 4, 2018

MORGAN STANLEY

RIA

CRD#: 149777

BOCA RATON, FL

Past

August 14, 2015 - September 4, 2018

MORGAN STANLEY

CRD#: 149777

BOCA RATON, FL

Past

June 7, 2012 - September 1, 2015

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

BOCA RATON, FL

Past

June 6, 2012 - September 1, 2015

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

BOCA RATON, FL

Past

November 20, 2009 - May 24, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PALM BEACH GARDENS, FL

Past

October 19, 2009 - May 24, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PALM BEACH GARDENS, FL

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".

ALLIED PRIVATE WEALTH

CRD#: 328952 / SEC#: 801-129089

RIA

Registered Investment Advisory firm - (12/7/2023 Approved)

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.

Highlighted states indicate IAR registrations

IAR

Florida
(3/29/2024)

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/6/2009

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 9/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/16/2009

General Securities Representative Examination

Current Firm

ALLIED PRIVATE WEALTH

CRD#: 328952 / SEC#: 801-129089

RIA

Registered Investment Advisory firm - (12/7/2023 Approved)

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Contact information

Main Address

7700 Congress Ave Suite 3208, Boca Raton, FL 33487

Mailing Address

Phone number

(954) 576-9192

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ALLIED PRIVATE WEALTH ADV BROCHURE PART 2A (4/30/2025)

Regulatory assets under management

Total Number of Accounts	431
AUM (Assets Under Management)	$ 186,978,574

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

Stephanie E. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephanie Elizabeth Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

SKY ALPHA ASSET ADVISORS

MORGAN STANLEY

MORGAN STANLEY

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

ALLIED PRIVATE WEALTH

State Registrations and Notice Filings

Exams

Series 66

Date: 11/6/2009

SIE

Date: 9/4/2018

Series 7

Date: 10/16/2009

Current Firm

ALLIED PRIVATE WEALTH

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALLIED PRIVATE WEALTH

TRUST BUT VERIFY

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