Gabriel 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.
Gabriel Andres Garcia, who also goes by Gabe Garcia, was a registered financial professional .
Gabriel is a previously registered financial professional and started their career in finance in 2007. Gabriel had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 12, 2017 - December 31, 2019
AZIMUTH FINANCIAL SERVICES, LLC
December 13, 2012 - April 12, 2016
NATIONAL FINANCIAL SERVICES LLC
November 30, 2011 - October 17, 2012
OLYMPUS SECURITIES, LLC
January 3, 2011 - September 20, 2011
UPHOLD SECURITIES INC.
June 20, 2007 - August 3, 2009
KAUFMAN BROS., L.P.
State Registrations and Notice Filings
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Exams
Current Firm
AZIMUTH FINANCIAL SERVICES, LLC
CRD#: 289278 / SEC#:
Contact information
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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