Jerry E Garcia
Professional Summary
Jerry E Garcia, who also goes by Jerry E Garcia, Jerry E (mio) Garcia, is a registered financial advisor currently at SEXTANT SECURITIES, LLC located in New York, New York. Jerry is registered as a RR (Registered Representative) and started their career in finance in 2008. Jerry has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 10 and Series 9 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Jerry E Garcia, Jerry E (mio) Garcia
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
19 years registered in the securities industry
Current & Past Employments
Current
Past
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Current Firm
FING SECURITIES LLC | SEXTANT SECURITIES, LLC | SEXTANT CAPITAL SOLUTIONS
Contact Information
Main Address
600 Madison Avenue 17th Floor, New York, NY 10022Mailing Address
600 Madison Avenue 17th Floor, New York, NY 10022Phone Number
(917) 715-5500Established
New York since 02/29/2016Firm Type
Limited Liability CompanyFiscal Year End
JuneFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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State Registrations and Notice Filings
(7/16/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Nov 2011About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Aug 2011About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Jerry E Garcia's CRS (Customer Relationship Summary).
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