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BG

Barbara Garcia

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CRD#: 6380615
BG
Barbara 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.

Barbara Garcia, who also goes by Barbara Johna Blackwell, Barbara Johna Garcia, was a registered financial professional .

Barbara is a previously registered financial professional and started their career in finance in 2017. Barbara had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Aliases

Barbara Johna Blackwell | Barbara Johna 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) Gratus Wealth Advisors LLC. Investment Related. At the registered location. RIA. Practice manager. 02/01/2024. Hrs/month 160 all during trading hours. Coordinating calendars for the advisors and supporting regulatory compliance needs. 2) Purshe Kaplan Sterling Investments, Investment related. 192 Ballard Court, Suite 101 Virginia Beach, VA 23462. Servicing existing broker dealer relationships and securities sales. Client Relationship Manager. Start date: 2/1/2024. 1 hr/month, 1 hr/month during trading hours. Servicing broker dealer relationships.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 1, 2024 - July 31, 2026

PURSHE KAPLAN STERLING INVESTMENTS

BD
CRD#: 35747
Virginia Beach, VA
Past

January 19, 2024 - August 3, 2026

GRATUS WEALTH ADVISORS LLC

RIA
CRD#: 328641
VIRGINIA BEACH, VA
Past

November 17, 2021 - February 1, 2024

NEWEDGE ADVISORS

RIA
CRD#: 171351
Viginia Beach, VA
Past

November 17, 2021 - February 1, 2024

NEWEDGE SECURITIES, LLC

BD
CRD#: 10674
VIRGINIA BEACH, VA
Past

February 17, 2021 - November 17, 2021

TRUIST ADVISORY SERVICES, INC.

RIA
CRD#: 283390
VIRGINIA BEACH, VA
Past

February 17, 2021 - November 17, 2021

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
VIRGINIA BEACH, VA
Past

January 8, 2018 - February 17, 2021

BB&T SECURITIES, LLC

RIA
CRD#: 142785
RICHMOND, VA
Past

January 8, 2018 - February 17, 2021

BB&T SECURITIES, LLC

BD
CRD#: 142785
RICHMOND, VA
Past

April 4, 2017 - December 22, 2017

FIRST COMMAND ADVISORY SERVICES

RIA
CRD#: 281958
Virginia Beach, VA
Past

March 8, 2017 - December 22, 2017

FIRST COMMAND BROKERAGE SERVICES, INC.

BD
CRD#: 3641
VIRGINIA BEACH, VA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/4/2017
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/8/2017
General Securities Representative Examination

Current Firm

PK
PURSHE KAPLAN STERLING INVESTMENTS
PURSHE KAPLAN STERLING INVESTMENTS | SARATOGA 21ST, LTD. | PURSHE KAPLAN STERLING INVESTMENTS, INC.

CRD#: 35747 / SEC#: , 8-46844

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
80 State Street, Albany, NY 12207
Mailing Address
80 State Street, Albany, NY 12207
Phone number
(518) 436-3536
Established
New York since 12/16/1993
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
PKS HOLDINGS, LLCHOLDING CO.
BOHLEY, TRACEY LEACHIEF FINANCIAL OFFICER4826937
FLOUTON, KATHERINE MARIEPRESIDENT4405001
KVAM, PETER DAVIDCHIEF COMPLIANCE OFFICER4301918
MOTTA, CHRISTOPHER JOHNCOO2741133
PURCELL, JOHN PETERC.E.O.1664678

Disclosures

Regulatory Event11
Arbitration2

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

PURSHE KAPLAN STERLING INVESTMENTS

CRD#: 35747

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