Luis A Garcia

Current Employers

Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2015-04-03
TX	RA	APPROVED	2015-03-31

FL RA
APPROVED

Since 2015-04-03
TX RA
APPROVED

Since 2015-03-31

Branch Locations

2811 Ponce De Leon Boulevard Suite 900, Coral Gables, FL 33134 • 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
Oppenheimer & Co. Inc.	Miami	FL	03/2015	Present

03/2015 → Present

Oppenheimer & Co. Inc.

Miami, FL

Previous Registrations

2013-02-21 → 2015-04-21

Rbc Capital Markets, Llc

Miami, FL
2004-03-15 → 2013-02-22

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Miami, FL

Miami, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2000-08-04

S66 Uniform Combined State Law Examination

2000-08-04

View on SEC IAPD

Current Employers

Oppenheimer & Co. Inc.

Disclosures

Employment History

Previous Registrations

Exams

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