Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames John Garcia is a registered representative and investment adviser representative with over 40 years of experience in the financial services industry. Currently, James John Garcia is associated with Stifel, Nicolaus & Company, Inc. and has been with them since March of 2009. Previously, James John Garcia was employed with CITIGROUP GLOBAL MARKETS INC., Legg Mason Wood Walker, Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. James John Garcia holds a Series 63, 65, 7, and SIE license and has passed the Uniform Securities Agent State Law Examination, Uniform Investment Adviser Law Examination, and General Securities Representative Examination.
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.
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.
1
2
PA
04/27/2009 - Present
Stifel, Nicolaus & Company, Inc. (BETHEL PARK PA)
PA
02/21/2006 - 04/15/2009
CITIGROUP GLOBAL MARKETS INC. (UPPER ST. CLAIR PA)
MD
01/16/1998 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
08/20/1981 - 02/02/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 04/30/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/19/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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