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Joseph Arthur Garcia

Pacific Financial Strategies, Inc

Thousand Oaks, CA

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Current Employers
Pacific Financial Strategies, Inc

223 E. Thousand Oaks Blvd., Suite 403, Thousand Oaks, CA 91360 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2026-01-02
TX RA APPROVED 2017-03-13
  • CA RA
    APPROVED
    Since 2026-01-02
  • TX RA
    APPROVED
    Since 2017-03-13

Branch Locations

223 E. Thousand Oaks Blvd., Suite 403, Thousand Oaks, CA 91360 • 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
Pacific Financial Strategies, Inc Thousand Oaks CA 01/2010 Present
Previous Registrations
  • 2008-04-02 → 2010-02-19
    Concourse Financial Group Securities, Inc.
    Agoura, CA
    Sugar Land, TX
    Agoura, CA
    Ventura, CA
  • 1998-10-14 → 2008-03-31
    Osaic Fs, Inc.
    Agoura, CA
    Agoura, CA
  • 2000-01-24 → 2003-11-17
    Independent Advisers Group Corp
    Agoura, CA
Other Businesses

1. DBA AND INSURANCE THRU PACIFIC FINANCIAL STRATEGIES INC; CEO; . ENGAGES IN THE SALE OF HEALTH INSURANCE, DISABILITY INSURANCE, LONG TERM CARE, TERM, UNIVERSAL & WHOLE LIFE INSURANCE. FIXED ANNUITIES. 3/1987 40 HRS/MO

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2004-08-12
S65 Uniform Investment Adviser Law Examination 1998-10-05
  • S63 Uniform Securities Agent State Law Examination
    2004-08-12
  • S65 Uniform Investment Adviser Law Examination
    1998-10-05
Other Names
  • J Arthur Garcia
  • Art Garcia

View on SEC IAPD

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Other Offices

IBN ASSET MANAGEMENT, LLC · THOUSAND OAKS, CA
STATE FARM INVESTMENT MANAGEMENT CORP. · Thousand Oaks, CA
AMERIPRISE FINANCIAL SERVICES, LLC · Thousand Oaks, CA
LPL FINANCIAL LLC · THOUSAND OAKS, CA
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · THOUSAND OAKS, CA
STRATEGIC FINANCIAL · THOUSAND OAKS, CA
GOLD COAST SECURITIES, INC. · THOUSAND OAKS, CA
GOLD COAST SECURITIES, INC. · THOUSAND OAKS, CA

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