Carlos Garcia

Current Employers

Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2023-01-05
RI	RA	APPROVED	2022-12-13

TX RA
APPROVED_RES

Since 2023-01-05
RI RA
APPROVED

Since 2022-12-13

Branch Locations

North Providence, RI • United States

3400 Pawtucket Ave Ci Client Management, Riverside, RI 02915 • 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 Yes
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Lincoln	RI	07/2020	05/2021
Bank Ri	East Providence	RI	08/2015	02/2018
Bank Of America	Lincoln	RI	02/2018	07/2020
Citizens Securities, Inc.	Johnston	RI	05/2021	09/2022
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Lincoln	RI	09/2022	Present

07/2020 → 05/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lincoln, RI
08/2015 → 02/2018

Bank Ri

East Providence, RI
02/2018 → 07/2020

Bank Of America

Lincoln, RI
05/2021 → 09/2022

Citizens Securities, Inc.

Johnston, RI
09/2022 → Present

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Lincoln, RI

Previous Registrations

2021-05-17 → 2022-09-27

Citizens Securities, Inc.

Johnston, RI

Hudson, MA

West Palm Beach, FL
2021-05-01 → 2021-05-20

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Riverside, RI

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-04-29

S66 Uniform Combined State Law Examination

2021-04-29

Other Names

Carlos Enrique Garcia
Carlos E Garcia

View on SEC IAPD