Best Investors Account Sign in

Carlos M Garcia

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Annapolis, MD

Coral Gables, FL

Claim This Profile
Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2025-06-25
  • FL RA
    APPROVED
    Since 2025-06-25

Branch Locations

1 Park Pl Investment Solutions Group, Annapolis, MD 21401 • United States

355 Alhambra Cir Investment Solutions Group, Coral Gables, FL 33134 • 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
Vanguard Marketing Corporation Miami FL 01/2012 12/2016
The Vanguard Group, Inc. Miami FL 12/2016 09/2018
First Trust Portfolios L.P. Wheaton IL 10/2018 07/2024
First Trust Advisors L.P. Wheaton IL 10/2018 07/2024
Merrill Lynch, Pierce, Fenner & Smith Incorporated Coral Gables FL 12/2024 Present
Unemployed Miami FL 08/2024 11/2024
Previous Registrations
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2019-08-06
S66 Uniform Combined State Law Examination 2005-05-19
  • S65 Uniform Investment Adviser Law Examination
    2019-08-06
  • S66 Uniform Combined State Law Examination
    2005-05-19
Other Names
  • Carlos Garcia
  • Carlos Manuel Garcia

View on SEC IAPD

More in Annapolis, MD

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor