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Rosalia Garcia

Oppenheimer & Co. Inc.

Newport Beach, CA

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Current Employers
Oppenheimer & Co. Inc.

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

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-05-02
  • CA RA
    APPROVED
    Since 2025-05-02

Branch Locations

680 Newport Center Drive Suite 200, Newport Beach, CA 92660 • 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
Oppenheimer & Co. Inc. Los Angeles CA 09/2005 01/2018
Ameriprise Financial Services Inc Los Angeles CA 01/2018 07/2018
Bico Drilling Tools, Inc. Oklahoma City OK 10/2018 07/2020
Oppenheimer & Co Inc. Newport Beach CA 07/2020 04/2021
Boustead Securities, Llc Irvine CA 05/2021 09/2021
Oppenheimer & Co, Inc. Newport Beach CA 09/2021 Present
  • 09/2005 → 01/2018
    Oppenheimer & Co. Inc.
    Los Angeles, CA
  • 01/2018 → 07/2018
    Ameriprise Financial Services Inc
    Los Angeles, CA
  • 10/2018 → 07/2020
    Bico Drilling Tools, Inc.
    Oklahoma City, OK
  • 07/2020 → 04/2021
    Oppenheimer & Co Inc.
    Newport Beach, CA
  • 05/2021 → 09/2021
    Boustead Securities, Llc
    Irvine, CA
  • 09/2021 → Present
    Oppenheimer & Co, Inc.
    Newport Beach, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2025-04-30
S63 Uniform Securities Agent State Law Examination 2017-12-12
  • S65 Uniform Investment Adviser Law Examination
    2025-04-30
  • S63 Uniform Securities Agent State Law Examination
    2017-12-12

View on SEC IAPD

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