Unclaimed
Mark Garcia is a financial professional with over 30 years of experience in the industry. Mark has been registered with Charles Schwab & Co., Inc. since 2021, and previously worked for TD Ameritrade, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Scottrade, Inc., BANC OF AMERICA INVESTMENT SERVICES, INC., and Charles Schwab & Co., Inc. Mark is currently registered to provide investment advice in California.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
CA
04/29/2021 - Present
Charles Schwab & CO., Inc. (Brea CA)
NE
05/26/2023 - 12/31/2023
TD AMERITRADE, INC. (OMAHA NE)
CA
05/07/2018 - 03/27/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (HUNTINGTON BEACH CA)
CA
03/26/2009 - 03/08/2018
SCOTTRADE, INC. (CERRITOS CA)
CA
05/06/2004 - 01/29/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
TX
10/25/1999 - 04/29/2004
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
01/01/1999 - 09/27/1999
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NA
09/09/1993 - 01/01/1999
GRIFFIN FINANCIAL SERVICES
CA
11/27/1991 - 08/25/1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
BOTH
Issued 05/23/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/02/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/08/2012
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/08/2012
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/14/1993
Series 7 - General Securities Representative Examination
BC
Issued 11/25/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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