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Joe Anthony Garcia

LPl Financial LLC

Rio Rancho, NM

Albuquerque, NM

Albuquerque, NM

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Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
NM RA APPROVED 2022-08-29
TX RA APPROVED 2022-08-26
  • NM RA
    APPROVED
    Since 2022-08-29
  • TX RA
    APPROVED
    Since 2022-08-26

Branch Locations

1900 Wellspring Ave Se, Rio Rancho, NM 87124 • United States

1625 Rio Bravo Blvd Ste 6, Albuquerque, NM 87105 • United States

3707 Juan Tabo Blvd., Ne, Albuquerque, NM 87111-3924 • 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
Fidelity Brokerage Services Llc Albuquerque NM 07/2014 02/2017
Cuna Mutual Group Waverly IA 12/2018 05/2021
Cuna Brokerage Services, Inc. Waverly IA 12/2018 05/2022
Saint Mark's In The Valley Day School Albuquerque NM 05/2018 11/2018
Unemployed Albuquerque NM 02/2017 05/2018
Cuna Mutual Group Waverly IA 05/2021 05/2022
Lpl Financial Llc Albuquerque NM 05/2022 Present
  • 07/2014 → 02/2017
    Fidelity Brokerage Services Llc
    Albuquerque, NM
  • 12/2018 → 05/2021
    Cuna Mutual Group
    Waverly, IA
  • 12/2018 → 05/2022
    Cuna Brokerage Services, Inc.
    Waverly, IA
  • 05/2018 → 11/2018
    Saint Mark's In The Valley Day School
    Albuquerque, NM
  • 02/2017 → 05/2018
    Unemployed
    Albuquerque, NM
  • 05/2021 → 05/2022
    Cuna Mutual Group
    Waverly, IA
  • 05/2022 → Present
    Lpl Financial Llc
    Albuquerque, NM
Other Businesses

1. 05-18-2022-MEMBERS Financial Services- Investment Related- AT Reported Business Location(s)- DBA for LPL Business (entity for LPL business)-

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-08-12
S63 Uniform Securities Agent State Law Examination 2015-11-05
  • S65 Uniform Investment Adviser Law Examination
    2022-08-12
  • S63 Uniform Securities Agent State Law Examination
    2015-11-05

View on SEC IAPD

Other Firms

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PFG ADVISORS
STATE FARM INVESTMENT MANAGEMENT CORP.
EDWARD JONES
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
SJHL FINANCIAL GROUP
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
REDW WEALTH LLC

Other Investors

Jacqueline Martinez
Allison Betts
Kyrie Elizabeth Greathouse
Brandon Alexander Thurgood
Todd Sargent Strasser
JED M WEBB
Jeremy Alexander Dudar
Phillip Alexander Perkins

Other Offices

BUCK WEALTH STRATEGIES, LLC · Rio Rancho, NM
PFG ADVISORS · Rio Rancho, NM
STATE FARM INVESTMENT MANAGEMENT CORP. · Rio Rancho, NM
EDWARD JONES · RIO RANCHO, NM
STATE FARM INVESTMENT MANAGEMENT CORP. · Rio Rancho, NM
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · RIO RANCHO, NM
SJHL FINANCIAL GROUP · Rio Rancho, NM
LPL FINANCIAL LLC · ALBUQUERQUE, NM

More in Rio Rancho, NM

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