Rafael Alberto Garcia

Current Employers

Calton & Associates, Inc.

2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States

Current Registrations

Authority	Category	Status	Date
CA	RA	APPROVED	2024-10-17

CA RA
APPROVED

Since 2024-10-17

Branch Locations

Post Falls, ID • United States

Laguna Hills, CA • United States

2701 N. Rocky Point Drive Suite 1000, Tampa, FL 33607 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Amerus	Des Moines	IA	12/2003	Present
Diversified Financial Management Group	Lake Forest	CA	02/2003	Present
Capital Financial Services, Inc.	Minot	ND	03/2007	07/2019
Calton & Associates, Inc.	Post Falls	ID	07/2019	Present
Calton & Associates, Inc.	Tampa	FL	10/2024	Present

12/2003 → Present

Amerus

Des Moines, IA
02/2003 → Present

Diversified Financial Management Group

Lake Forest, CA
03/2007 → 07/2019

Capital Financial Services, Inc.

Minot, ND
07/2019 → Present

Calton & Associates, Inc.

Post Falls, ID
10/2024 → Present

Calton & Associates, Inc.

Tampa, FL

Other Businesses

1) Garcia & Associates. Non-investment related. 24881 Georgia SUE Laguna Hills CA, 92653-4324. Nature of business: Tax preparation and consulting. Title: Tax Preparer. Hours per mon: 3 hours a day. Started: 01/18/2022. Duties: Prepares taxes for clients.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2024-09-27
S63	Uniform Securities Agent State Law Examination	1997-12-04

S65 Uniform Investment Adviser Law Examination

2024-09-27
S63 Uniform Securities Agent State Law Examination

1997-12-04

Other Names

Rafael Garcia

View on SEC IAPD