Nelly M. Garcia

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CRD#: 7392424

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.

Nelly Merlie Malinao Garcia was a registered financial professional .

Nelly is a previously registered financial professional and started their career in finance in 2021. Nelly had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

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.

Kaiser Permanente; Not investment related; Charge Nurse; Start date 08/1980; Panorama City, CA; Approx 99% of time

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

July 2, 2021 - May 17, 2024

ATLANTIC INVESTMENTS A REGISTERED INVESTMENT ADVISOR, INC

RIA

CRD#: 154001

Granada Hills, CA

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

Current Firm

ATLANTIC INVESTMENTS A REGISTERED INVESTMENT ADVISOR, INC

ATLANTIC INVESTMENTS A REGISTERED INVESTMENT ADVISOR, INC | FIDELITY PACIFIC INVESTMENTS INC. | FIDELITY ATLANTIC INVESTMENTS INC. | ATLANTIC INVESTMENTS A REGISTERED INVESTMENT ADVISOR, INC.

CRD#: 154001 / SEC#:

California

Registered Investment Advisory firm - (9/9/2010 Approved)

Florida

Registered Investment Advisory firm - (11/13/2012 Terminated)

Illinois

Registered Investment Advisory firm - (3/21/2013 Terminated)

Louisiana

Registered Investment Advisory firm - (1/19/2016 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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Contact information

Main Address

2029 Century Park East Suite 400, Los Angeles, CA 90067

Mailing Address

Phone number

(866) 997-6234

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Red Flags

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