Jose S. 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.
Jose Salvador Garcia, who also goes by Jose S Garcia, Jose Garcia, Jose Salvador Garcia Lopez, Jose S Garcia-lopez, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 2014. Jose had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2020 - February 11, 2021
VICTORY CAPITAL SERVICES, INC.
January 8, 2018 - July 8, 2019
USAA INVESTMENT SERVICES COMPANY
August 28, 2017 - January 8, 2018
USAA FINANCIAL PLANNING SERVICES
August 28, 2017 - July 8, 2019
USAA FINANCIAL ADVISORS, INC.
November 30, 2015 - August 16, 2017
J.P. MORGAN SECURITIES LLC
May 15, 2014 - August 16, 2017
J.P. MORGAN SECURITIES LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
VICTORY CAPITAL SERVICES, INC.
CRD#: 37059 / SEC#: , 8-47577
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 1 |
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.
