Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carolina? Claim Your ProfileCarolina Garcia is a Registered Investment Advisor Representative with NFP Retirement Inc. Carolina has been in the financial services industry since 2007 and has held positions with several prominent firms. Carolina is licensed in Florida and holds the Series 6, 63, 65, and 99TO licenses. Carolina's specialties include retirement planning, investment management for individuals, and selection of other advisors.
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.
Personalized portfolio management to meet individual financial objectives.
Research reports on 401(k) plans / diligence on investment lineups
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.
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CA
08/29/2024 - Present
NFP Retirement Inc. (ALISO VIEJO CA)
FL
11/20/2023 - 07/17/2024
MUTUAL OF AMERICA SECURITIES LLC (Boca Raton FL)
CO
11/25/2019 - 11/07/2023
EMPOWER FINANCIAL SERVICES, INC. (GREENWOOD VILLAGE CO)
OH
06/06/2016 - 11/13/2019
NATIONWIDE INVESTMENT SERVICES CORPORATION (COLUMBUS OH)
FL
06/27/2015 - 05/17/2016
HSBC SECURITIES (USA) INC. (PALM BEACH GARDENS FL)
FL
10/06/2008 - 09/15/2010
SUNTRUST INVESTMENT SERVICES, INC. (BOYNTON BEACH FL)
FL
05/29/2007 - 08/22/2008
CITIGROUP GLOBAL MARKETS INC. (BOYNTON BEACH FL)
FL
12/19/2001 - 05/29/2007
CITICORP INVESTMENT SERVICES (BOYNTON BEACH FL)
KS
06/21/1999 - 04/03/2001
IVY MACKENZIE DISTRIBUTORS, INC. (OVERLAND PARK KS)
IA
Issued 09/12/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/25/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/22/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
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