Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Andrew Garcia is a financial professional with over 20 years of experience in the industry. Mark has a strong background in investment banking, and currently works at Bofa Securities, Inc. in Palo Alto, CA. Prior to joining Bofa Securities, Inc., Mark held positions at Citigroup Global Markets Inc., Barclays Capital Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Deutsche Bank Securities Inc. Mark holds Series 7, Series 24, Series 63, Series 79TO, and SIE licenses.
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.
Research-related 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.
Negotiated fees for research-related services
1
2
CA
05/13/2022 - Present
Bofa Securities, Inc. (PALO ALTO CA)
CA
11/15/2017 - 04/27/2021
CITIGROUP GLOBAL MARKETS INC. (SAN FRANCISCO CA)
CA
06/08/2015 - 11/10/2017
BARCLAYS CAPITAL INC. (MENLO PARK CA)
CA
06/01/2006 - 05/11/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PALO ALTO CA)
NY
11/27/2003 - 05/03/2006
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
NY
06/01/2001 - 02/08/2002
DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)
NJ
01/03/1997 - 06/17/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 03/20/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/30/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2001
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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