SG
Scott D. Garcia
CONCURRENT INVESTMENT ADVISORS
Aspen, CO 81611
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CRD#: 5865690
SG
Professional summary
Scott Douglas Garcia, who also goes by Scott D Garcia, is a registered financial advisor currently at CONCURRENT INVESTMENT ADVISORS, LLC located in Aspen, Colorado and PURSHE KAPLAN STERLING INVESTMENTS located in Aspen, Colorado.
Scott is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Scott has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Scott D 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.
(1) Concurrent Investment Advisors. 600 E Hopkins Ave, Aspen, CO, 81611-2934, United States. Support Company - Non-Owner. Other. Investment Related. 02/16/2020. 0-1 Hour per month/ trading hours. Concurrent Advisors is a support company, I am a non-owner. (2) Concurrent Partners 1. 600 E Hopkins Ave, Aspen, CO, 81611-2934, United States. Personal/Private Investment. Financial Advisor. Investment Related. 02/02/2022. 0-1 Hr./ Monthly & During trading. Owner. (3) Concurrent Investment Advisors, LLC d/b/a Legacy Private Wealth Partners. 600 E Hopkins Ave Ste 201, Aspen, CO, 81611, United States. Support Company - Non-Owner. Independent Contractor. Investment Related. 02/16/2020. 160 Hours Monthly and during trading. Financial Advisor (4) Fixed Insurance, not investment-related, 600 E. Hopkins Ave, Suite 201, Aspen, CO 81611, insurance business, agent, agent, 11/2010, 1 hour per month, limited hours during trading hours, agent originating term life insurance as needed.
CRS (Client Relationship Summary) - RIA
Click below to view Scott Douglas 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 18, 2023 - Present
CONCURRENT INVESTMENT ADVISORS, LLC
Office #1: 600 E. Hopkins Ave Suite 201, Aspen, CO 81611RIA
CRD#: 323135
Aspen, CO
Current
May 18, 2023 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 600 E. Hopkins Ave Suite 201, Aspen, CO 81611BD
CRD#: 35747
Aspen, CO
Past
February 6, 2020 - May 26, 2023
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
Aspen, CO
Past
February 6, 2020 - May 26, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
Aspen, CO
Past
February 9, 2011 - February 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
AVON, CO
Past
January 20, 2011 - February 10, 2020
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
AVON, CO
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".
CI
CONCURRENT INVESTMENT ADVISORS, LLC
44 MANAGEMENT | WINE COUNTRY WEALTH | WEALTH PARTNERS ALLIANCE | VENN WEALTH MANAGEMENT | VALENTA CAPITAL MANAGEMENT | TIDWELL-PREMOCK-BASILONE PRIVATE WEALTH MANAGEMENT | THE WEALTH STEWARDS | THE HAMILTON GROUP | TAILORMADE WEALTH COUNSEL | T7 LEGACY | STAMPER WEALTH & RETIREMENT GROUP | SPHINX ADVISORY GROUP | SPECTRUM WEALTH PARTNERS | SAUER WEALTH MANAGEMENT | PRICE FINANCIAL MANAGEMENT | OLD TOWN ADVISORS | NEXT RETIREMENT SOLUTIONS | MAVERICK WEALTH ADVISORS | MATT WIGREN & LAURA CHRISTOFFERSON | LUMATURE WEALTH PARTNERS | LINDAMOOD FINANCIAL GROUP | LEGACY PRIVATE WEALTH PARTNERS | LAURUS FINANCIAL GROUP | KEATON AND SAMS WEALTH MANAGEMENT | INSIGHT PRIVATE WEALTH | HUDSON WEALTH MANAGEMENT | HEARTLAND WEALTH MANAGEMENT | HEAD RETIREMENT & WEALTH STRATEGIES | HARRIMAN HALL WEALTH | GRH WEALTH MANAGEMENT | GREAT BASIN ASSET MANAGEMENT | FIG GARDEN WEALTH MANAGEMENT | FAMILY WEALTH SOLUTIONS | ENGLESTAD WEALTH ADVISORS | ELEVATE FAMILY PARTNERS | EAGLE CAPITAL | DAS WEALTH MANAGEMENT GROUP | DANIELSON TATE CAPITAL PARTNERS | CROWNMARK WEALTH ADVISORS | COX, KLUGH AND CO. | CORNERSTONE PRIVATE WEALTH PARTNERS | CONCURRENT RETIREMENT SOLUTIONS | CONCURRENT PRIVATE WEALTH | CONCURRENT INVESTMENT ADVISORS, LLC | CONCURRENT CORPORATE SOLUTIONS | CONCURRENT ADVISORS, LLC | CONCURRENT ADVISORS | COLUMBIA ASSOCIATES WEALTH MANAGEMENT GROUP | COLUMBIA ASSOCIATES | CILIBERTI & ASSOCIATES | CHIEF INVESTMENT OFFICE | CENTER STREET WEALTH MANAGEMENT | CANOPY ASSET MANAGEMENT | BRICK HOUSE WEALTH STRATEGIES | BMR RETIREMENT | AVENUES TO WEALTH FINANCIAL ADVISORS | ARKY MILLER FINANCIAL GROUP | ALLEGIANT WEALTH PARTNERS | ALDEN CAPITAL MANAGEMENT | ADELE FINANCIAL LLC | ADALAN PRIVATE WEALTH
CRD#: 323135 / SEC#: 801-126555
RIA
Registered Investment Advisory firm - (9/8/2022 Approved)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.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
Colorado(5/18/2023)
IAR
Colorado(5/18/2023)
IAR
Texas(6/19/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CONCURRENT INVESTMENT ADVISORS, LLC
44 MANAGEMENT | WINE COUNTRY WEALTH | WEALTH PARTNERS ALLIANCE | VENN WEALTH MANAGEMENT | VALENTA CAPITAL MANAGEMENT | TIDWELL-PREMOCK-BASILONE PRIVATE WEALTH MANAGEMENT | THE WEALTH STEWARDS | THE HAMILTON GROUP | TAILORMADE WEALTH COUNSEL | T7 LEGACY | STAMPER WEALTH & RETIREMENT GROUP | SPHINX ADVISORY GROUP | SPECTRUM WEALTH PARTNERS | SAUER WEALTH MANAGEMENT | PRICE FINANCIAL MANAGEMENT | OLD TOWN ADVISORS | NEXT RETIREMENT SOLUTIONS | MAVERICK WEALTH ADVISORS | MATT WIGREN & LAURA CHRISTOFFERSON | LUMATURE WEALTH PARTNERS | LINDAMOOD FINANCIAL GROUP | LEGACY PRIVATE WEALTH PARTNERS | LAURUS FINANCIAL GROUP | KEATON AND SAMS WEALTH MANAGEMENT | INSIGHT PRIVATE WEALTH | HUDSON WEALTH MANAGEMENT | HEARTLAND WEALTH MANAGEMENT | HEAD RETIREMENT & WEALTH STRATEGIES | HARRIMAN HALL WEALTH | GRH WEALTH MANAGEMENT | GREAT BASIN ASSET MANAGEMENT | FIG GARDEN WEALTH MANAGEMENT | FAMILY WEALTH SOLUTIONS | ENGLESTAD WEALTH ADVISORS | ELEVATE FAMILY PARTNERS | EAGLE CAPITAL | DAS WEALTH MANAGEMENT GROUP | DANIELSON TATE CAPITAL PARTNERS | CROWNMARK WEALTH ADVISORS | COX, KLUGH AND CO. | CORNERSTONE PRIVATE WEALTH PARTNERS | CONCURRENT RETIREMENT SOLUTIONS | CONCURRENT PRIVATE WEALTH | CONCURRENT INVESTMENT ADVISORS, LLC | CONCURRENT CORPORATE SOLUTIONS | CONCURRENT ADVISORS, LLC | CONCURRENT ADVISORS | COLUMBIA ASSOCIATES WEALTH MANAGEMENT GROUP | COLUMBIA ASSOCIATES | CILIBERTI & ASSOCIATES | CHIEF INVESTMENT OFFICE | CENTER STREET WEALTH MANAGEMENT | CANOPY ASSET MANAGEMENT | BRICK HOUSE WEALTH STRATEGIES | BMR RETIREMENT | AVENUES TO WEALTH FINANCIAL ADVISORS | ARKY MILLER FINANCIAL GROUP | ALLEGIANT WEALTH PARTNERS | ALDEN CAPITAL MANAGEMENT | ADELE FINANCIAL LLC | ADALAN PRIVATE WEALTH
CRD#: 323135 / SEC#: 801-126555
RIA
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Contact information
Main Address
100 S. Ashley Drive Suite 830, Tampa, FL 33602
Mailing Address
Phone number
(813) 709-8800
Established
Firm type
Fiscal year end
# of Employees
188
SEC notice filing (50 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,278 |
| AUM (Assets Under Management) | $ 9,901,639,186 |
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.
