Robert 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.
Robert Michael Garcia, who also goes by Robert Garcia, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 2009. Robert had worked at 4 firms and has passed the Series 63, Series 7TO, SIE, Series 3, Series 7, Series 6 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
May 10, 2019 - March 30, 2021
ALT FUND DISTRIBUTORS LLC
September 17, 2015 - September 6, 2017
FORESIDE FUND SERVICES, LLC
April 17, 2013 - June 30, 2015
FORESIDE FUNDS DISTRIBUTORS LLC
June 2, 2009 - February 5, 2010
WELLS FARGO CLEARING SERVICES, LLC
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
Series 7TO
Date: 3/26/2024
General Securities Representative ExaminationCurrent Firm
ALT FUND DISTRIBUTORS LLC
CRD#: 146547 / SEC#: , 8-67829
Contact information
FINRA licenses (51 States and Territories)
Documents
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.
