Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Christopher? Claim Your ProfileChristopher David Garcia is a financial advisor at LPL Financial LLC with over 15 years of experience in the financial services industry. Christopher David Garcia has worked with several firms in the past including TD Ameritrade, Inc., NPB Financial Group, LLC, and National Planning Corporation. Christopher David Garcia is registered with the state of California and Texas and has a Series 7, 31, and 66 securities license as well as a Series 63 license. Christopher David Garcia provides advisory services including financial planning, portfolio management for individuals and businesses, 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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
09/19/2024 - Present
LPL Financial LLC (SANTA ROSA CA)
CA
02/07/2019 - 10/31/2019
TD AMERITRADE, INC. (SANTA ROSA CA)
CA
04/10/2018 - 01/22/2019
NPB FINANCIAL GROUP, LLC (SANTA ROSA CA)
CA
11/29/2017 - 03/08/2018
LPL FINANCIAL LLC (Napa CA)
CA
05/19/2017 - 11/29/2017
NATIONAL PLANNING CORPORATION (Napa CA)
CA
11/12/2010 - 09/28/2016
FIDELITY BROKERAGE SERVICES LLC (LARKSPUR CA)
CA
05/25/2010 - 07/30/2010
CHASE INVESTMENT SERVICES CORP. (SONOMA CA)
CA
05/09/2008 - 03/26/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (SANTA ROSA CA)
CA
08/22/2007 - 05/01/2008
MORGAN STANLEY & CO. INCORPORATED (SANTA ROSA CA)
CA
12/06/2005 - 07/23/2007
SCOTTRADE, INC. (SANTA ROSA CA)
BOTH
Issued 10/04/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/14/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 10/27/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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