Richard E. 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.
Richard Edward Garcia, who also goes by Dick Garcia, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 9 firms and has passed the Series 63 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
September 5, 1990 - November 8, 1990
GKN SECURITIES CORP.
October 31, 1989 - February 3, 1990
SHEEN FINANCIAL RESOURCES, INC.
March 15, 1989 - October 28, 1989
BOB HEDGES FINANCIAL SERVICES, INC.
September 9, 1988 - March 20, 1989
LOWRY FINANCIAL SERVICES CORPORATION
January 21, 1988 - May 17, 1988
INTEGRATED RESOURCES EQUITY CORPORATION
May 18, 1987 - September 12, 1988
EASTER KRAMER GROUP SECURITIES, INC.
January 15, 1985 - May 8, 1987
DREXEL BURNHAM LAMBERT INCORPORATED
May 30, 1984 - January 31, 1985
CITIGROUP GLOBAL MARKETS INC.
April 25, 1980 - May 31, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
GKN SECURITIES CORP.
CRD#: 19415 / SEC#: , 8-37442
Contact information
Documents
Disclosures
| Regulatory Event | 17 |
| Civil Event | 1 |
| Arbitration | 15 |
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.
