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Nicholas A Garcia

Charles Schwab & CO., Inc.

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About Nicholas A Garcia

Nicholas Garcia is a financial advisor at Charles Schwab & Co., Inc. Nicholas has been in the industry since April 2014 and has a diverse background in financial services. He holds a Series 7, Series 63, and Series 66 licenses. His expertise lies in providing financial advice, developing financial plans, and offering portfolio management services for both individuals and businesses. With experience at both Charles Schwab & Co., Inc. and ScotTrade, Inc., Nicholas is equipped to assist clients in navigating the complex world of investments. His commitment to client service and personalized attention is evident in his extensive list of registered states, offering his expertise to a broad spectrum of clients.

Firm Information

Nicholas Garcia is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Nicholas Garcia’s Registration & Firm History

MD

06/26/2023 - Present

Charles Schwab & CO., Inc. (Bethesda MD)

MD

09/10/2013 - 03/09/2018

SCOTTRADE, INC. (BURTONSVILLE MD)

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Licenses & Designations

BOTH

Issued 08/02/2017

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/21/2013

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 03/09/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/10/2013

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Nicholas A Garcia.
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