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Carlos Armando Garcia

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Chandler, AZ

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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-11-18
CA RA APPROVED 2021-11-12
  • TX RA
    APPROVED
    Since 2021-11-18
  • CA RA
    APPROVED
    Since 2021-11-12

Branch Locations

2555-2595 W Chandler Blvd Ci Relationship Management, Chandler, AZ 85224 • 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
Merrill Lynch, Pierce, Fenner & Smith Incorporated Chandler AZ 07/2019 Present
Five Guys Phoenix AZ 04/2018 06/2019
Discover Financial Services Tempe AZ 05/2018 08/2018
Lee Armory Phoenix AZ 12/2017 05/2018
Aaa Landscape Phoenix AZ 05/2017 08/2017
Arizona State University Tempe AZ 08/2016 05/2019
Bank Of America, N.A. Chandler AZ 08/2021 Present
  • 07/2019 → Present
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    Chandler, AZ
  • 04/2018 → 06/2019
    Five Guys
    Phoenix, AZ
  • 05/2018 → 08/2018
    Discover Financial Services
    Tempe, AZ
  • 12/2017 → 05/2018
    Lee Armory
    Phoenix, AZ
  • 05/2017 → 08/2017
    Aaa Landscape
    Phoenix, AZ
  • 08/2016 → 05/2019
    Arizona State University
    Tempe, AZ
  • 08/2021 → Present
    Bank Of America, N.A.
    Chandler, AZ
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2021-11-11
S63 Uniform Securities Agent State Law Examination 2020-06-03
  • S66 Uniform Combined State Law Examination
    2021-11-11
  • S63 Uniform Securities Agent State Law Examination
    2020-06-03
Other Names
  • Carlos Garcia

View on SEC IAPD

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SAMUEL J SMITH
RENEE JEAN HRUSKA
ANDREA MICHELLE MCLELLAND
Christine Lynne Lobdell Raney

Other Offices

J.P. MORGAN SECURITIES LLC · CHANDLER, AZ
EDWARD JONES · CHANDLER, AZ
LPL FINANCIAL LLC · CHANDLER, AZ
VAL VISTA CAPITAL MANAGEMENT, LLC · SUN LAKES, AZ
WELLS FARGO CLEARING SERVICES, LLC · CHANDLER, AZ
EDWARD JONES · SUN LAKES, AZ
STATE FARM INVESTMENT MANAGEMENT CORP. · Chandler, AZ
INDEPENDENT FINANCIAL GROUP, LLC · CHANDLER, AZ

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