DG
Diego B. Garcia
BGC FINANCIAL, L.P.
New York, NY 10038
Some features on this profile are disabled
CRD#: 6501070
DG
Professional summary
Diego Brazao Garcia is a registered financial professional currently at BGC FINANCIAL, L.P. located in New York, New York and FMX EXECUTION, LLC located in New York, New York.
Diego is registered as a RR (Registered Representative) and started their career in finance in 2016. Diego has worked at 2 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Diego Brazao 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®
NoneExperience
Current
July 22, 2016 - Present
BGC FINANCIAL, L.P.
Office #1: 199 Water Street 19th Floor, New York, NY 10038BD
CRD#: 19801
New York, NY
Current
June 2, 2024 - Present
FMX EXECUTION, LLC
Office #1: 199 Water Street , New York, NY 10038BD
CRD#: 154075
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
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
Alabama(5/9/2018)
RR
Alaska(5/9/2018)
RR
Arizona(5/9/2018)
RR
Arkansas(5/9/2018)
RR
California(11/16/2016)
RR
Colorado(5/9/2018)
RR
Connecticut(11/16/2016)
RR
Delaware(5/9/2018)
RR
District of Columbia(5/9/2018)
RR
Florida(11/16/2016)
RR
Georgia(11/16/2016)
RR
Hawaii(5/9/2018)
RR
Idaho(5/9/2018)
RR
Illinois(11/16/2016)
RR
Indiana(5/9/2018)
RR
Iowa(5/9/2018)
RR
Kansas(5/9/2018)
RR
Kentucky(5/9/2018)
RR
Louisiana(5/9/2018)
RR
Maine(5/9/2018)
RR
Maryland(5/9/2018)
RR
Massachusetts(11/16/2016)
RR
Michigan(5/9/2018)
RR
Minnesota(11/16/2016)
RR
Mississippi(5/9/2018)
RR
Missouri(5/9/2018)
RR
Montana(5/9/2018)
RR
Nebraska(5/9/2018)
RR
Nevada(5/9/2018)
RR
New Hampshire(5/9/2018)
RR
New Jersey(11/16/2016)
RR
New Mexico(5/9/2018)
RR
New York(11/11/2016)
RR
North Carolina(5/10/2018)
RR
North Dakota(5/9/2018)
RR
Ohio(5/9/2018)
RR
Oklahoma(5/9/2018)
RR
Oregon(5/9/2018)
RR
Pennsylvania(5/9/2018)
RR
Puerto Rico(5/9/2018)
RR
Rhode Island(5/9/2018)
RR
South Carolina(5/9/2018)
RR
South Dakota(5/9/2018)
RR
Texas(11/16/2016)
RR
Utah(5/9/2018)
RR
Vermont(5/9/2018)
RR
Virginia(5/9/2018)
RR
Washington(11/16/2016)
RR
West Virginia(5/9/2018)
RR
Wisconsin(5/9/2018)
RR
Wyoming(5/9/2018)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
Cboe BZX Exchange, Inc.
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
Nasdaq GEMX, LLC
SRO Registrations
RR
Nasdaq ISE, LLC
SRO Registrations
RR
Nasdaq Stock Market
Current Firm
FE
FMX EXECUTION, LLC
FENICS EXECUTION, LLC | MODENA SECURITIES LLC | KYTE SECURITIES LLC | FMX EXECUTION, LLC
CRD#: 154075 / SEC#: , 8-68606
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
55 Water Street, New York, NY 10041
Mailing Address
55 Water Street, New York, NY 10041
Phone number
(212) 968-4122
Established
New York since 04/20/2010
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees
FINRA licenses (18 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FENICS MARKETS XCHANGE, LLC | SOLE MEMBER | |
| ANZALONE, THOMAS JOSEPH | CHIEF OPERATIONS OFFICER/PRINCIPAL OPERATIONS OFFICER | 1161513 |
| HAUF, JASON WILLIAMS | CHIEF FINANCIAL OFFICER | 4163331 |
| RINALDO, MARK J | CHIEF OPERATING OFFICER | 4824739 |
| SCOTTO, LOUIS JAMES | CHIEF EXECUTIVE OFFICER | 1483052 |
| SULFARO, MICHAEL CARL | CHIEF COMPLIANCE OFFICER | 2483562 |
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.
