Gary A. Garcia

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CRD#: 827550

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.

Gary A Garcia was a registered financial professional .

Gary is a previously registered financial professional and started their career in finance in 1976. Gary had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

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.

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

April 18, 2017 - January 11, 2023

NWF ADVISORY SERVICES INC

RIA

CRD#: 110410

Fresno, CA

Past

March 27, 2007 - February 5, 2013

OSAIC WEALTH, INC.

RIA

CRD#: 23131

FRESNO, CA

Past

March 27, 2007 - April 18, 2017

WHJR ASSOCIATES

RIA

CRD#: 113269

FRESNO, CA

Past

November 19, 1989 - December 31, 2022

OSAIC WEALTH, INC.

CRD#: 23131

FRESNO, CA

Past

December 28, 1982 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 6, 1981 - September 17, 1981

GREAT AMERICAN SECURITIES INC.

CRD#: 7504

Past

June 14, 1979 - April 9, 1981

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

Past

September 26, 1978 - July 28, 1979

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

July 12, 1978 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

Past

September 22, 1976 - July 26, 1978

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

CRD#: 640

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/31/2006

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/21/1998

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/18/1976

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 6/20/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 6/22/1989

General Securities Principal Examination

Current Firm

NWF ADVISORY SERVICES INC

AFP ADVISORY SERVICES INC | NWF ADVISORY SERVICES INC

CRD#: 110410 / SEC#: 801-55681

RIA

Registered Investment Advisory firm - (6/30/1998 Approved)

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Contact information

Main Address

11835 W Olympic Blvd Ste 1155 E., Los Angeles, CA 90064

Mailing Address

Phone number

(310) 475-5854

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NWF ADV PART 2 A 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	11,979
AUM (Assets Under Management)	$ 3,824,876,751

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.

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Advisor Monitoring

Firm Stability Insights

Gary A. Garcia

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

NWF ADVISORY SERVICES INC

OSAIC WEALTH, INC.

WHJR ASSOCIATES

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

GREAT AMERICAN SECURITIES INC.

LINCOLN FINANCIAL DISTRIBUTORS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

PAINE, WEBBER, JACKSON & CURTIS INCORPORATED

Primary Firm SEC Registration

NWF ADVISORY SERVICES INC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/31/2006

Series 63

Date: 10/21/1998

SIE

Date: 10/1/2018

Series 7

Date: 9/18/1976

Series 51

Date: 6/20/2003

Series 24

Date: 6/22/1989

Current Firm

NWF ADVISORY SERVICES INC

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NWF ADVISORY SERVICES INC

TRUST BUT VERIFY

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