Johnny M. 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.
Johnny M Garcia JR., who also goes by Johnny M Garcia, Johnny Garcia, was a registered financial professional .
Johnny is a previously registered financial professional and started their career in finance in 2009. Johnny had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 15, 2017 - December 17, 2018
USAA INVESTMENT SERVICES COMPANY
June 15, 2017 - December 17, 2018
USAA INVESTMENT SERVICES COMPANY
October 18, 2016 - June 15, 2017
USAA FINANCIAL PLANNING SERVICES
July 20, 2015 - October 18, 2016
USAA INVESTMENT SERVICES COMPANY
April 27, 2015 - October 18, 2016
USAA INVESTMENT SERVICES COMPANY
April 23, 2013 - July 20, 2015
USAA FINANCIAL PLANNING SERVICES
June 19, 2012 - May 9, 2013
USAA INVESTMENT SERVICES COMPANY
July 15, 2010 - June 20, 2012
USAA FINANCIAL PLANNING SERVICES
February 2, 2010 - June 15, 2017
USAA FINANCIAL ADVISORS, INC.
September 11, 2009 - December 23, 2009
WADDELL & REED
May 7, 2009 - December 23, 2009
WADDELL & REED
Primary Firm SEC Registration
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
USAA INVESTMENT SERVICES COMPANY
CRD#: 5475 / SEC#: 801-126328, 8-41241
Contact information
SEC notice filing (51 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| USAA INVESTMENT CORPORATION (PARENT CO.) | SHAREHOLDER | |
| BEALL, KEVIN DOUGLAS | VICE PRESIDENT, DIRECTOR | 4202452 |
| CARTER, BRANDON DANE | DIRECTOR, CHAIRMAN OF THE BOARD | 2939393 |
| ECK, FRANK THOMAS IV | SECRETARY | 7979835 |
| FLORES, JENNIFER MARGRET | FINOP AND PRINCIPAL FINANCIAL OFFICER | 4175069 |
| HANKS, KARE ELIZABETH | DIRECTOR, VICE PRESIDENT | 2883762 |
| MUIR, JAMES DYER | CHIEF COMPLIANCE OFFICER | 2801996 |
| PEREZ-ROSSELLO, MADELINE IVETTE | ASSISTANT VICE PRESIDENT AND PRINCIPAL OPERATIONS OFFICER | 4033239 |
| STORK, MARY ELIZABETH | DIRECTOR | 2960253 |
| WHITE, WILLIAM SWEENEY | PRESIDENT, VICE-CHAIRMAN, DIRECTOR | 4843743 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 4 |
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.
