Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rafael? Claim Your ProfileRafael Garcia is a financial advisor with over 27 years of experience in the industry. He has been registered with LPL Financial LLC since November 2019 and was previously registered with SAGEPOINT FINANCIAL, INC. and AMERICAN GENERAL SECURITIES INCORPORATED. He holds Series 6, Series 63, and SIE licenses and is currently licensed in 13 states. Rafael specializes in providing financial planning, portfolio management for individuals and businesses, and consulting and other non-discretionary advisory services.
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.
Consulting and other non-discretionary advisory 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.
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.
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2
NJ
11/07/2019 - Present
LPL Financial LLC (WAYNE NJ)
NJ
01/10/2014 - 11/12/2019
SAGEPOINT FINANCIAL, INC. (WAYNE NJ)
NJ
10/31/2008 - 12/11/2012
SAGEPOINT FINANCIAL, INC. (WAYNE NJ)
NJ
04/07/2006 - 10/31/2008
AMERICAN GENERAL SECURITIES INCORPORATED (WAYNE NJ)
NJ
01/15/1993 - 10/22/2004
TFS SECURITIES, INC. (LINCROFT NJ)
NJ
12/01/1992 - 01/14/1993
C. J. M. PLANNING CORP. (POMPTON LAKES NJ)
BC
Issued 10/09/2019
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/27/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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