Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Benjamin? Claim Your ProfileBenjamin Garcia is a registered representative with Citigroup Global Markets Inc. He is a licensed advisor with both Series 66 and Series 63 licenses. Benjamin Garcia has been in the securities industry since 2004. His prior work experience includes employment with HSBC SECURITIES (USA) INC. and BANC OF AMERICA INVESTMENT SERVICES, INC.. Benjamin Garcia specializes in asset allocation advice, financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. He is currently registered with the state of New Jersey and is active in both broker-dealer and investment advisor capacity.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
NJ
01/13/2020 - Present
Citigroup Global Markets Inc. (Fort Lee NJ)
NY
05/29/2009 - 05/18/2011
HSBC SECURITIES (USA) INC. (MELVILLE NY)
NJ
10/20/2004 - 02/26/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (GLEN ROCK NJ)
NY
06/29/2004 - 10/20/2004
QUICK & REILLY, INC. (NEW YORK NY)
BOTH
Issued 01/03/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/03/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/17/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/30/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/02/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 07/08/2019
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/28/2004
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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