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Joseph Nathan Garcia

Transamerica Financial Advisors, Inc.

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About Joseph Nathan Garcia

Joseph Nathan Garcia is a financial advisor registered with Transamerica Financial Advisors, Inc. in Austin, TX. Joseph has been in the financial services industry since 2022 and is active in both the broker-dealer and investment advisor roles. Joseph has licenses to provide financial advice in several states, including Texas, Iowa, Kansas, New Jersey, North Carolina and Ohio. Joseph holds several industry certifications, including the Series 63, Series 65 and Series 7TO exams, as well as the Securities Industry Essentials (SIE) exam. Joseph provides financial planning, portfolio management services for individuals and is able to select other advisors for your specific needs.

Firm Information

Joseph Garcia is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

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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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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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percentage of assets

A percentage of the total value of assets under management is charged.

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Joseph Garcia’s Registration & Firm History

TX

09/19/2022 - Present

Transamerica Financial Advisors, Inc. (Austin TX)

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Licenses & Designations

IA

Issued 09/17/2022

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 06/25/2022

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/01/2024

Series 7TO - General Securities Representative Examination

BC

Issued 05/28/2022

Series 6TO - Investment Company Products/Variable Contracts Representative Examination

BC

Issued 04/02/2022

SIE - Securities Industry Essentials Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Joseph Nathan Garcia. Review regulatory record here.
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