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Orlando Garcia

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Newport Beach, CA

Riverside, IL

Chicago, IL

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
IL RA APPROVED 2016-12-22
TX RA APPROVED_RES 2016-12-22
  • IL RA
    APPROVED
    Since 2016-12-22
  • TX RA
    APPROVED_RES
    Since 2016-12-22

Branch Locations

520 Newport Center Dr, Newport Beach, CA 92660 • United States

Riverside, IL • United States

110 N Wacker Dr, Chicago, IL 60606 • 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
Fifth Third Securities Chicago IL 09/2015 12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chicago IL 12/2016 Present
Bank Of America, N.A. Chicago IL 12/2016 Present
Previous Registrations
  • 2015-09-17 → 2016-12-05
    Fifth Third Securities, Inc.
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2012-10-01 → 2015-09-23
    J.P. Morgan Securities Llc
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
  • 2011-09-06 → 2012-10-01
    Chase Investment Services Corp.
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
    Chicago, IL
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2011-09-02
S63 Uniform Securities Agent State Law Examination 2007-11-16
  • S66 Uniform Combined State Law Examination
    2011-09-02
  • S63 Uniform Securities Agent State Law Examination
    2007-11-16

View on SEC IAPD

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Other Investors

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Michael Schanna
Rebekah A. Beekie
WILLIAM BENJAMIN SHAPIRO
Austin Mascorro
Bruce Lyle
Philip Pluta

Other Offices

OKAPI CAPITAL, LLC · NEWPORT BEACH, CA
OCVC, LLC · NEWPORT BEACH, CA
MIG CAPITAL, LLC · NEWPORT BEACH, CA
RESEARCH AFFILIATES · NEWPORT BEACH, CA
PAAMCO PRISMA, LLC · NEWPORT BEACH, CA
COMPOSITION WEALTH, LLC · Newport Beach, CA
J.P. MORGAN SECURITIES LLC · NEWPORT BEACH, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Newport Beach, CA

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