CG
Christopher M. Garcia
WILSHIRE QUINN CAPITAL
San Diego, CA 92103
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CRD#: 5335958
CG
Professional summary
Christopher Matthew Garcia is a registered financial advisor currently at WILSHIRE QUINN CAPITAL, INC. located in San Diego, California.
Christopher is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Christopher has worked at 1 firm and has passed the Series 65 exam.
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.
MR. GARCIA IS THE MANAGING MEMBER OF WILSHIRE QUINN CAPITAL, LLC WHICH IS ALSO INVOLVED IN THE BUSINESS OF FUTURES AND OPTIONS. WILSHIRE QUINN IS AN INTRODUCING BROKER (IB) AND A COMMODITY TRADING ADVISOR (CTA). WQC IS ACTIVELY ENGAGED IN THIS TYPE OF BUSINESS AND MAY SELL SUCH PRODUCTS AND SERVICES TO ITS INVESTMENT ADVISORY CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Matthew 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
May 2, 2023 - Present
WILSHIRE QUINN CAPITAL, INC.
Office #1: 2550 Fifth Avenue Suite 1070, San Diego, CA 92103RIA
CRD#: 148012
San Diego, CA
Past
August 18, 2008 - July 28, 2022
WILSHIRE QUINN CAPITAL, INC.
RIA
CRD#: 148012
SAN DIEGO, CA
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".
WQ
WILSHIRE QUINN CAPITAL, INC.
WILSHIRE QUINN CAPITAL MANAGEMENT, LLC | WILSHIRE QUINN CAPITAL, LLC | WILSHIRE QUINN CAPITAL, INC.
CRD#: 148012 / SEC#: 801-127734
RIA
Registered Investment Advisory firm - (4/26/2023 Approved)California
Registered Investment Advisory firm - (7/28/2022 Terminated)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
California(5/2/2023)
Current Firm
WQ
WILSHIRE QUINN CAPITAL, INC.
WILSHIRE QUINN CAPITAL MANAGEMENT, LLC | WILSHIRE QUINN CAPITAL, LLC | WILSHIRE QUINN CAPITAL, INC.
CRD#: 148012 / SEC#: 801-127734
RIA
Registered Investment Advisory firm - (4/26/2023 Approved)California
Registered Investment Advisory firm - (7/28/2022 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2550 Fifth Avenue Suite 1070, San Diego, CA 92103
Mailing Address
Phone number
(619) 872-6000
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (1 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 585 |
| AUM (Assets Under Management) | $ 180,614,924 |
Exempt reporting advisers
Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.
| SEC / JURISDICTION | REPORTING STATUS | EFFECTIVE DATE |
|---|---|---|
| SEC | ERA - Withdrawn | 3/25/2023 |
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.
