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Alain Garcia

Loop Capital Markets LLC

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About Alain Garcia

Alain Garcia is a financial professional with over six years of experience in the industry. Alain is currently registered with Loop Capital Markets LLC, where Alain provides investment banking and related services. Alain has held previous roles with Citigroup Global Markets Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Alain holds Series 7, 52, 63, and SIE licenses. Alain is registered in Texas and New York.

Firm Information

Alain Garcia is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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transition management services/equity research services

Transition management services/equity research services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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Alain Garcia’s Registration & Firm History

TX

03/12/2024 - Present

Loop Capital Markets LLC (San Antonio TX)

NY

04/05/2022 - 03/07/2024

CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)

IL

02/20/2019 - 03/07/2022

LOOP CAPITAL MARKETS LLC (CHICAGO IL)

TX

12/11/2017 - 05/29/2018

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SAN ANTONIO TX)

TX

11/02/2016 - 09/18/2017

HILLTOP SECURITIES INC. (SAN ANTONIO TX)

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Licenses & Designations

BC

Issued 06/13/2017

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 07/16/2022

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 05/29/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/18/2018

Series 7 - General Securities Representative Examination

BC

Issued 11/02/2016

Series 52 - Municipal Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Alain Garcia.
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