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AG

Alan A. Garcia

WISE US ASSETS
NEW YORK, NY 10010
Some features on this profile are disabled
CRD#: 7817368
AG

Professional summary

Alan Arturo Garcia is a registered financial professional currently at WISE US ASSETS INC located in New York, New York.

Alan is registered as a RR (Registered Representative) and started their career in finance in 2024. Alan has worked at 2 firms and has passed the Series 63, Series 7TO and SIE 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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Alan Arturo 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®
None

Experience

Current

March 6, 2026 - Present

WISE US ASSETS INC

Office #1: 30 W. 26th St, Sixth Floor, New York, NY 10010
BD
CRD#: 329919
NEW YORK, NY
Past

March 4, 2024 - July 12, 2025

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Austin, TX

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
Texas
(3/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 4/15/2024
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/4/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/28/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

WU
WISE US ASSETS INC
WISE US ASSETS | WISE US ASSETS INC

CRD#: 329919 / SEC#: , 8-71239

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
30 W. 26th St Sixth Floor, New York, NY 10010
Mailing Address
30 W. 26th St Sixth Floor, New York, NY 10010
Phone number
(888) 908-3833
Established
Delaware since 01/31/2024
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (50 States and Territories)

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

Documents

Direct owners and executive officers

NamePositionCRD#
WISE US HOLDINGS INCSHAREHOLDER
BLANCO MARQUEZ, ADRIANA GRISELLEGENERAL SECURITIES PRINCIPAL7778003
KRZAK, ALEXANDER JACOBPOO6349160
LAW, KA-MING FRANCISFINOP, PFO2569806
MORIAH, SHINNELL OBONETTACHIEF COMPLIANCE OFFICER/INTERIM CHIEF EXECUTIVE OFFICER6182124

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

WISE US ASSETS INC

CRD#: 329919New York, NY 10010

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