Best Investors Account Sign in
Inactive

Carolina Garcia

Wealthspire Retirement Advisory

Maitland, FL

Aliso Viejo, CA

Claim This Profile
Current Employers
Wealthspire Retirement Advisory

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2024-08-29
  • FL RA
    APPROVED
    Since 2024-08-29

Branch Locations

1050 Maitland Center Commons Suite 360, Maitland, FL 32751 • United States

120 Vantis Suite 400, Aliso Viejo, CA 92656 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Nationwide Investment Services Corporation Columbus OH 05/2016 11/2019
Gwfs Equities, Inc. Greenwood Village CO 11/2019 11/2023
Mutual Of America Securities Llc Boca Raton FL 11/2023 07/2024
Nfp Retirement, Inc. Aliso Viejo CA 07/2024 10/2025
Wealthspire Retirement Advisory Aliso Viejo CA 10/2025 Present
  • 05/2016 → 11/2019
    Nationwide Investment Services Corporation
    Columbus, OH
  • 11/2019 → 11/2023
    Gwfs Equities, Inc.
    Greenwood Village, CO
  • 11/2023 → 07/2024
    Mutual Of America Securities Llc
    Boca Raton, FL
  • 07/2024 → 10/2025
    Nfp Retirement, Inc.
    Aliso Viejo, CA
  • 10/2025 → Present
    Wealthspire Retirement Advisory
    Aliso Viejo, CA
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-09-12
S63 Uniform Securities Agent State Law Examination 2015-07-25
  • S65 Uniform Investment Adviser Law Examination
    2016-09-12
  • S63 Uniform Securities Agent State Law Examination
    2015-07-25
Other Names
  • Carolina R Garcia
  • Carolina Garcia Herrera

View on SEC IAPD

More in Maitland, FL

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor