Christine L. Garcia
FINANCIAL INVESTMENT TEAM ("FIT")
Portland, OR 97224
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CRD#: 6125516
Professional summary
Christine Lam Garcia, CFP®, who also goes by Christine Lam, is a registered financial advisor currently at FINANCIAL INVESTMENT TEAM ("FIT") located in Portland, Oregon and PEAK BROKERAGE SERVICES, LLC located in Jupiter, Florida.
Christine is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Christine has worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christine Lam
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). Financial Investment Team, Inc; Investment Advisor; Start date: 07/15/2021; Approx. # of hours per month: 160; Approx. # of hours per month during trading hours: 100.
CRS (Client Relationship Summary) - RIA
Click below to view Christine Lam 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®
CFP®
Start date: 2023
Experience
Current
August 23, 2021 - Present
FINANCIAL INVESTMENT TEAM ("FIT")
Office #1: 15350 Sw Sequoia Pkwy Suite 150, Portland, OR 97224RIA
CRD#: 145724
Portland, OR
Current
July 16, 2021 - Present
PEAK BROKERAGE SERVICES, LLC
Office #1: 1070 East Indiantown Road Suite 208 - 210, Jupiter, FL 33477-9999BD
CRD#: 157045
Jupiter, FL
Past
November 17, 2015 - July 6, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
LAKE OSWEGO, OR
Past
July 17, 2015 - July 6, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
LAKE OSWEGO, OR
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".
FI
FINANCIAL INVESTMENT TEAM ("FIT")
FINANCIAL INVESTMENT TEAM ("FIT") | HARRISON & ASSOCIATES WEALTH MANAGEMENT SERVICES, INC. | FINANCIAL INVESTMENT TEAM, INC.
CRD#: 145724 / SEC#: 801-114111
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)California
Registered Investment Advisory firm - (11/15/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Louisiana
Registered Investment Advisory firm - (1/3/2017 Terminated)Oregon
Registered Investment Advisory firm - (10/23/2018 Terminated)Texas
Registered Investment Advisory firm - (10/23/2018 Terminated)Washington
Registered Investment Advisory firm - (10/30/2018 Terminated)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
Oregon(7/16/2021)
IAR
Oregon(8/23/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
FI
FINANCIAL INVESTMENT TEAM ("FIT")
FINANCIAL INVESTMENT TEAM ("FIT") | HARRISON & ASSOCIATES WEALTH MANAGEMENT SERVICES, INC. | FINANCIAL INVESTMENT TEAM, INC.
CRD#: 145724 / SEC#: 801-114111
RIA
Registered Investment Advisory firm - (10/12/2018 Approved)California
Registered Investment Advisory firm - (11/15/2018 Terminated)Colorado
Registered Investment Advisory firm - (10/26/2018 Terminated)Louisiana
Registered Investment Advisory firm - (1/3/2017 Terminated)Oregon
Registered Investment Advisory firm - (10/23/2018 Terminated)Texas
Registered Investment Advisory firm - (10/23/2018 Terminated)Washington
Registered Investment Advisory firm - (10/30/2018 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
15350 Sw Sequoia Pkwy Suite 150, Portland, OR 97224
Mailing Address
Phone number
(503) 906-5205
Established
Firm type
Fiscal year end
# of Employees
5
SEC notice filing (6 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 855 |
| AUM (Assets Under Management) | $ 186,401,476 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
