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JG

Jorge Garcia-serra

Some features on this profile are disabled
CRD#: 6673526
JG

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.

Jorge Garcia-serra, who also goes by Jorge Garcia, George Garcia-serra, Jorge Garcia-serra, was a registered financial professional .

Jorge is a previously registered financial professional and started their career in finance in 2016. Jorge had worked at 3 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jorge Garcia | George Garcia-Serra | Jorge Garcia-Serra

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.

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

May 20, 2022 - January 12, 2026

PACER FINANCIAL, INC.

BD
CRD#: 137040
Malvern, PA
Past

January 5, 2021 - May 18, 2022

ROBINHOOD FINANCIAL, LLC

BD
CRD#: 165998
Denver, CO
Past

August 1, 2016 - November 10, 2020

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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
Series 63
Date: 8/10/2016
Uniform Securities Agent 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: 8/1/2016
General Securities Representative Examination

Current Firm

PF
PACER FINANCIAL, INC.
PACER FINANCIAL, INC.

CRD#: 137040 / SEC#: , 8-67061

BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
500 Chesterfield Parkway, Malvern, PA 19355
Mailing Address
500 Chesterfield Parkway, Malvern, PA 19355
Phone number
(610) 644-8100
Established
Pennsylvania since 03/23/2005
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (51 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
THOMSON, JOE MCKEEPRESIDENT718569
OHARA, SEAN EDWARDDIRECTOR1312483
BRADBARD, ASHLEE ANN THOMSONSR. VICE PRESIDENT5761850
THOMSON, JOANN MARIESECRETARY/TREASURER5086499
ZELLER, KIMBERLY L. T.VICE PRESIDENT5774669
JOHNSON, JEFFREY SHAWNCHIEF COMPLIANCE OFFICER5508770
MILLER, JOHN STEVENSONFINOP2139980

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

PACER FINANCIAL, INC.

CRD#: 137040

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