Diego N Garcia

Current Employers

Edward Jones

12555 Manchester Rd, St. Louis, MO 63131 • United States

Current Registrations

Authority	Category	Status	Date
AZ	RA	APPROVED	2025-02-06
TX	RA	APPROVED	2025-01-31

AZ RA
APPROVED

Since 2025-02-06
TX RA
APPROVED

Since 2025-01-31

Branch Locations

Scottsdale, AZ • United States

7373 E Doubletree Ranch Road Suite 100, Scottsdale, AZ 85258 • 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

Organization	City	State	From	To
Jpmorgan Chase Bank, N.A.	Phoenix	AZ	08/2019	07/2020
University Of Southern California	Los Angeles	CA	05/2015	08/2017
Vanguard	Scottsdale	AZ	06/2018	08/2019
Northern Trust Corporation	Tempe	AZ	12/2017	06/2018
Thornburg Investment	Santa Fe	NM	01/2017	04/2017
Unemployed	Las Vegas	NV	08/2017	11/2017
State Street Global Advisors	Boston	MA	07/2020	08/2021
Independent Investment Bankers Corp	Austin	TX	08/2021	12/2021
Justly Markets, Llc	New York	NY	02/2022	07/2022
Unemployed	Tbd	AZ	01/2022	01/2022
Morgan Stanley	Gilbert	AZ	01/2023	01/2025
First Choice Business Brokers	Scottsdale	AZ	08/2020	01/2023
Edward Jones	St. Louis	MO	01/2025	Present

08/2019 → 07/2020

Jpmorgan Chase Bank, N.A.

Phoenix, AZ
05/2015 → 08/2017

University Of Southern California

Los Angeles, CA
06/2018 → 08/2019

Vanguard

Scottsdale, AZ
12/2017 → 06/2018

Northern Trust Corporation

Tempe, AZ
01/2017 → 04/2017

Thornburg Investment

Santa Fe, NM
08/2017 → 11/2017

Unemployed

Las Vegas, NV
07/2020 → 08/2021

State Street Global Advisors

Boston, MA
08/2021 → 12/2021

Independent Investment Bankers Corp

Austin, TX
02/2022 → 07/2022

Justly Markets, Llc

New York, NY
01/2022 → 01/2022

Unemployed

Tbd, AZ
01/2023 → 01/2025

Morgan Stanley

Gilbert, AZ
08/2020 → 01/2023

First Choice Business Brokers

Scottsdale, AZ
01/2025 → Present

Edward Jones

St. Louis, MO

Previous Registrations

2023-03-06 → 2025-02-14

Morgan Stanley

Gilbert, AZ

Other Businesses

Biltmore Global Holdings LLC Type of business: LLC for my rental property Scottsdale, AZ Start date: 1/1/2025 Principal/Owner Hours per week: 1 Hours during trading: 0 This entity is for holding and managing my rental property.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2023-03-03
S63	Uniform Securities Agent State Law Examination	2018-08-31

S66 Uniform Combined State Law Examination

2023-03-03
S63 Uniform Securities Agent State Law Examination

2018-08-31

Other Names

Diego N Garcia
Diego Garcia
Diego Nelson Garcia

View on SEC IAPD