EG
Eric J. Garcia
OSAIC INSTITUTIONS
Aventura, FL 33180
Some features on this profile are disabled
CRD#: 5909532
EG
Professional summary
Eric Jose Garcia, CFP® is a registered financial advisor currently at OSAIC INSTITUTIONS, INC. located in Aventura, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Eric has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
2200 SW 14 ST MIAMI, FL 33145 - RENTAL PROPERTY, I'M THE LANDLORD - 08/2005- I JUST CAME FROM AN FAA COMPLIANCE CONFERENCE AND IT WAS SUGGESTED THAT WE DISCLOSE ANY RENTAL PROPERTY/INCOME WE HAVE. THIS IS BASICALLLY A DUPLEX I LIVE IN AND RENT THE OTHER SIDE. - 0 SHARES HELD, 0 HOURS DURING AND OUTSIDE BUSINESS HOURS - $1400 A MONTH
CRS (Client Relationship Summary) - RIA
Click below to view Eric Jose Garcia's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Jose 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®
Experience
Current
March 13, 2017 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2875 Ne 191 St. Suite 101, Aventura, FL 33180Office #2: 1221 Brickell Avenue Suite 100, Miami, FL 33131Office #3: 2317 Ponce De Leon, Coral Gables, FL 33134Office #4: 7900 Miami Lakes Drive W, Miami Lakes, FL 33016Office #5: 3457 N University Dr, Sunrise, FL 33351Office #6: 13715 Biscayne Blvd, N Miami, FL 33181Office #7: 1590 Ne Miami Gardens Drive, N Miam Beach, FL 33179Office #8: 7306 Collins Ave, Miami Beach, FL 33141Office #9: 1620 W 49th Street, Hialeah, FL 33012Office #10: 8180 Nw 36th Street Suite 103, Miami, FL 33166Office #11: 8875 Dadeland Blvd, Miami, FL 33156RIA
BD
CRD#: 35371
Aventura, FL
Current
July 1, 2016 - Present
OSAIC INSTITUTIONS, INC.
Office #1: 2875 Ne 191 St. Suite 101, Aventura, FL 33180Office #2: 1221 Brickell Avenue Suite 100, Miami, FL 33131Office #3: 2317 Ponce De Leon, Coral Gables, FL 33134Office #4: 7900 Miami Lakes Drive W, Miami Lakes, FL 33016Office #5: 3457 N University Dr, Sunrise, FL 33351Office #6: 13715 Biscayne Blvd, N Miami, FL 33181Office #7: 1590 Ne Miami Gardens Drive, N Miam Beach, FL 33179Office #8: 7306 Collins Ave, Miami Beach, FL 33141Office #9: 1620 W 49th Street, Hialeah, FL 33012Office #10: 8180 Nw 36th Street Suite 103, Miami, FL 33166Office #11: 8875 Dadeland Blvd, Miami, FL 33156RIA
BD
CRD#: 35371
Aventura, FL
Past
August 21, 2012 - August 30, 2012
ESSEX NATIONAL SECURITIES, LLC
RIA
CRD#: 25454
MIAMI LAKES, FL
Past
August 1, 2012 - July 1, 2016
ESSEX NATIONAL SECURITIES, LLC
BD
CRD#: 25454
MIAMI LAKES, FL
Past
June 15, 2011 - April 20, 2012
MORGAN STANLEY
RIA
CRD#: 149777
MIAMI, FL
Past
May 11, 2011 - April 20, 2012
MORGAN STANLEY
BD
CRD#: 149777
MIAMI, FL
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".
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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(10/22/2020)
RR
Delaware(7/30/2019)
RR
Florida(7/1/2016)
IAR
Florida(3/13/2017)
RR
Georgia(6/10/2019)
RR
Illinois(7/1/2016)
RR
Indiana(7/1/2016)
RR
New Jersey(7/1/2016)
RR
New York(7/1/2016)
RR
Puerto Rico(7/1/2016)
RR
South Dakota(8/7/2019)
RR
Texas(11/14/2022)
IAR
Texas(11/14/2022)
RR
Virginia(9/15/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
OI
OSAIC INSTITUTIONS, INC.
CONNECTICUT ASSOCIATION SECURITIES, INC. | OSAIC INSTITUTIONS, INC. | INFINEX INVESTMENTS, INC.
CRD#: 35371 / SEC#: 801-67242, 8-46661
RIA
Registered Investment Advisory firm - SEC (11/2/2006 Approved)Connecticut
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Florida
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Indiana
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Maine
Registered Investment Advisory firm - SEC (12/7/2006 Terminated)Massachusetts
Registered Investment Advisory firm - SEC (3/23/2007 Terminated)New Hampshire
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Ohio
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)Rhode Island
Registered Investment Advisory firm - SEC (11/22/2006 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
538 Preston Avenue, Meriden, CT 06450-4858
Mailing Address
538 Preston Avenue, Meriden, CT 06450-4858
Phone number
(203) 599-6000
Established
Connecticut since 04/07/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
630
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| OSAIC INSTITUTIONS HOLDINGS, INC. | HOLDING COMPANY | |
| AMARANTE, STEPHEN PAUL | PRESIDENT, CEO AND DIRECTOR | 3165067 |
| CORNICK, GREGORY ALLEN | DIRECTOR | 3132991 |
| HAMMOND, DORI JAMILLE | CHIEF COMPLIANCE OFFICER | 3259012 |
| MITCHELL, CHRISTOPHER MILLS | CORPORATE TREASURER, FINANCIAL AND OPERATIONS PRINCIPAL | 2420144 |
| PRICE, JAMES DALE | CHAIRMAN | 1243224 |
| SCHLUETER, MATTHEW ADAM | DIRECTOR AND EXECUTIVE VICE PRESIDENT OPERATIONS AND TECHNOLOGY SOLUTIONS | 2627931 |
Regulatory assets under management
| Total Number of Accounts | 8,779 |
| AUM (Assets Under Management) | $ 4,024,448,971 |
Disclosures
| Regulatory Event | 8 |
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.
Company Information
OSAIC INSTITUTIONS, INC.
CRD#: 35371Aventura, FL 33180TRUST BUT VERIFY
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