Herman R. 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.
Herman Ralph Garcia JR was a registered financial professional .
Herman is a previously registered financial professional and started their career in finance in 1978. Herman had worked at 10 firms and has passed the Series 63, Series 24, Series 27, Series 4 and Series 40 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 6, 1986 - April 6, 1993
SOUTH RICHMOND SECURITIES, INC.
July 2, 1986 - August 11, 1986
PRESTIGE INVESTORS, INC.
May 5, 1986 - April 6, 1993
SOUTH RICHMOND SECURITIES, INC.
April 14, 1986 - November 21, 1986
VANDERBILT SECURITIES, INC.
February 13, 1986 - July 23, 1987
COLUMBUS CAPITAL CORP.
April 22, 1985 - March 10, 1986
WEAVER JOHNSON & COMPANY,INC.
October 8, 1984 - April 23, 1985
VANDERBILT SECURITIES, INC.
April 4, 1984 - October 26, 1984
SUTTON PLACE SECURITIES, INC.
March 14, 1980 - February 7, 1984
BROADCHILD SECURITIES CORP.
March 6, 1979 - March 22, 1980
GALDI SECURITIES CORP.
April 12, 1978 - December 13, 1978
CHESTER HARRIS & COMPANY, INCORPORATED
February 13, 1978 - July 10, 1978
SCHWAMM & CO., INC.
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
Series 40
Date: 2/2/1978
Registered Principal ExaminationCurrent Firm
SOUTH RICHMOND SECURITIES, INC.
CRD#: 14913 / SEC#: , 8-36650
Contact information
Documents
Red Flags
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