Angela Garcia

YOUNG RICHARD C & CO LTD

NEWPORT, RI 02840

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CRD#: 6447850

Professional summary

Angela Garcia is a registered financial advisor currently at YOUNG RICHARD C & CO LTD located in Newport, Rhode Island.

Angela is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Angela has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 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.

St. Joseph's Church - cantor/singer, performer for mass as of 11/19/2017.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Angela Garcia's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 2, 2021 - Present

YOUNG RICHARD C & CO LTD

Office #1: 98 William Street, Newport, RI 02840

RIA

CRD#: 105866

NEWPORT, RI

Past

August 26, 2015 - December 31, 2020

CITIZENS SECURITIES, INC.

CRD#: 39550

CRANSTON, RI

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".

YOUNG RICHARD C & CO LTD

CRD#: 105866 / SEC#: 801-35765

RIA

Registered Investment Advisory firm - (1/3/1990 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.

Highlighted states indicate IAR registrations

IAR

Rhode Island
(8/2/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 7/31/2021

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/28/2016

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6TO

Date: 11/8/2023

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 8/26/2015

Investment Company Products/Variable Contracts Representative Examination

Current Firm

YOUNG RICHARD C & CO LTD

CRD#: 105866 / SEC#: 801-35765

RIA

Registered Investment Advisory firm - (1/3/1990 Approved)

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Contact information

Main Address

98 William Street, Newport, RI 02840

Mailing Address

5150 Tamiami Trail North Suite 400, Naples, FL 34103

Phone number

(401) 849-2137

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (50 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (3/26/2025)

Regulatory assets under management

Total Number of Accounts	2,036
AUM (Assets Under Management)	$ 1,562,885,060

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.

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Advisor Monitoring

Firm Stability Insights

Angela Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Angela Garcia's CRS (Customer Relationship Summary).

Certified licenses

Experience

CITIZENS SECURITIES, INC.

Primary Firm SEC Registration

YOUNG RICHARD C & CO LTD

State Registrations and Notice Filings

Exams

Series 65

Date: 7/31/2021

Series 63

Date: 1/28/2016

Series 6TO

Date: 11/8/2023

SIE

Date: 10/1/2018

Series 6

Date: 8/26/2015

Current Firm

YOUNG RICHARD C & CO LTD

Contact information

SEC notice filing (50 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

YOUNG RICHARD C & CO LTD

TRUST BUT VERIFY

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