GG
Grant L. Garcia
STONEX FINANCIAL
New York, NY 10169
Some features on this profile are disabled
CRD#: 5773867
GG
Professional summary
Grant Louis Garcia, who also goes by Grant L Garcia, is a registered financial professional currently at STONEX FINANCIAL INC. located in New York, New York.
Grant is registered as a RR (Registered Representative) and started their career in finance in 2010. Grant has worked at 5 firms and has passed the Series 66, Series 52TO, SIE, Series 3 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Grant L Garcia
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Grant Louis 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
June 23, 2020 - Present
STONEX FINANCIAL INC.
Office #1: 230 Park Avenue 10th Floor, New York, NY, 10169BD
CRD#: 45993
New York, NY
Past
May 10, 2019 - June 19, 2020
BOFA SECURITIES, INC.
BD
CRD#: 283942
NEW YORK, NY
Past
October 25, 2016 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
October 25, 2016 - May 10, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
June 14, 2016 - October 19, 2016
SANTANDER US CAPITAL MARKETS LLC
BD
CRD#: 150696
NEW YORK, NY
Past
June 14, 2011 - June 21, 2016
CREDIT SUISSE SECURITIES (USA) LLC
RIA
CRD#: 816
NEW YORK, NY
Past
June 14, 2011 - June 21, 2016
CREDIT SUISSE SECURITIES (USA) LLC
BD
CRD#: 816
NEW YORK, NY
Past
August 26, 2010 - June 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
NEW YORK, NY
Past
June 11, 2010 - June 3, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/23/2020)
RR
Alaska(6/23/2020)
RR
Arizona(6/23/2020)
RR
Arkansas(6/23/2020)
RR
California(6/23/2020)
RR
Colorado(6/23/2020)
RR
Connecticut(6/23/2020)
RR
Delaware(6/23/2020)
RR
District of Columbia(6/23/2020)
RR
Florida(6/23/2020)
RR
Georgia(6/23/2020)
RR
Hawaii(6/23/2020)
RR
Idaho(6/23/2020)
RR
Illinois(6/23/2020)
RR
Indiana(6/23/2020)
RR
Iowa(6/23/2020)
RR
Kansas(6/23/2020)
RR
Kentucky(6/23/2020)
RR
Louisiana(6/23/2020)
RR
Maine(6/23/2020)
RR
Maryland(6/23/2020)
RR
Massachusetts(6/23/2020)
RR
Michigan(6/23/2020)
RR
Minnesota(6/23/2020)
RR
Mississippi(6/23/2020)
RR
Missouri(6/23/2020)
RR
Montana(6/23/2020)
RR
Nebraska(6/23/2020)
RR
Nevada(6/23/2020)
RR
New Hampshire(6/23/2020)
RR
New Jersey(6/23/2020)
RR
New Mexico(6/23/2020)
RR
New York(6/23/2020)
RR
North Carolina(6/23/2020)
RR
North Dakota(6/23/2020)
RR
Ohio(6/23/2020)
RR
Oklahoma(6/23/2020)
RR
Oregon(6/23/2020)
RR
Pennsylvania(6/23/2020)
RR
Puerto Rico(6/23/2020)
RR
Rhode Island(6/23/2020)
RR
South Carolina(6/23/2020)
RR
South Dakota(6/23/2020)
RR
Tennessee(6/23/2020)
RR
Texas(6/23/2020)
RR
Utah(6/23/2020)
RR
Vermont(6/23/2020)
RR
Virgin Islands(6/23/2020)
RR
Virginia(6/23/2020)
RR
Washington(6/23/2020)
RR
West Virginia(6/23/2020)
RR
Wisconsin(6/23/2020)
RR
Wyoming(6/23/2020)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
SF
STONEX FINANCIAL INC.
INTERNATIONAL TRADER ASSOCIATION, INC. | STONEX FINANCIAL INC. | STONEX | INTLTRADER.COM, INC. | INTL TRADING, INC. | INTL FCSTONE SECURITIES INC. | INTL FCSTONE FINANCIAL INC.
CRD#: 45993 / SEC#: , 8-51269
BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information
Main Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Mailing Address
329 Park Avenue North Suite 350, Winter Park, FL 32789
Phone number
(407) 741-5300
Established
Florida since 05/29/1998
Firm type
Corporation
Fiscal year end
September
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| STONEX GROUP INC. | OWNER | |
| BOLTE, DAVID ALBERT | SECRETARY | 2711410 |
| DAVISON, STUART ANDREW | DIRECTOR; CHIEF OPERATING OFFICER | 7824576 |
| DICIOLLO, ANTHONY JOSEPH | PRESIDENT/DIRECTOR | 4976402 |
| DUNAWAY, WILLIAM JOHN | DIRECTOR, CHIEF FINANCIAL OFFICER | 6505923 |
| LYON, CHARLES MARTIN | DIRECTOR, CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER | 4000852 |
| MAURER, MARK L | DIRECTOR, CHIEF RISK OFFICER | 4234406 |
| PORZIO, JOSEPH JOHN | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 1319702 |
| SMITH, PHILIP ANDREW | DIRECTOR | 4999097 |
| SZEKELY, GIGI KLARA | CHIEF COMPLIANCE OFFICER - BD DIVISION | 2530826 |
Disclosures
| Regulatory Event | 75 |
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.
