Freddy Garcia

Employer firm

Left Brain Wealth Management, LLC CRD 170348

$340M regulatory AUM

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (pooled vehicles)
• Periodicals / newsletters
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 08/2016 → Present
  Left Brain Wealth Management, Llc
  Naperville, IL
• 08/2016 → Present
  The Leaders Group, Inc.
  Littleton, CO
• 08/2016 → Present
  Capitas Financial Midwest Llc
  Downers Grove, IL

Previous Registrations

• 2008-02-12 → 2016-08-08
  Strategic Advisers Llc
  Orland Park, IL
  Oakbrook, IL
• 2005-09-30 → 2008-01-09
  Strategic Advisers Llc
  Covington, KY
• 2005-02-09 → 2005-09-08
  Invest Financial Corporation
  Tinley Park, IL
• 2004-06-07 → 2005-02-11
  Cetera Wealth Services, Llc
  Burbank, IL
• 1999-11-09 → 2004-05-24
  Metlife Investment Fund Services Llc
  Milwaukee, WI

Other Businesses

1.) CAPITAS FINANCIAL MIDWEST LLC - 8/1/2016 - 3025 Highland Pkwy, Suite 185 Downers Grove, IL 60515 - Agent, capitas is a business partner and product specialist on life insurance products. if I have a client that has a life insurance need capitas will work with me on finding the right solution the product can fixed but can be a variable insurance product also., ins bsn, Invt Rel, 1 hrs/mo; 1 hrs/mo (during trading hours). 2.) LEFT BRAIN WEALTH MANAGEMENT LLC - 8/1/2016 - 215 Shuman Blvd, Suite 304 Naperville, IL 60563 - IAR Rep, I am the registered investment advisor for my clients and receive a fee for assets under management for managing their accounts., IAR bsn, Invt Rel, 160 hrs/mo; 160 hrs/mo (during trading hours). 3) The Leaders Group Broker Dealer Registered Rep Investment related

Exams

• S65 Uniform Investment Adviser Law Examination
  1999-10-18
• S63 Uniform Securities Agent State Law Examination
  1999-05-27

Designations

• Certified Financial Planner

Other Names

• Fred Garcia