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Detailed Report
JAMES PHILLIP GARCIA
CRD#: 4063640
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Previous Investment Adviser
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Previous Broker
BARRED BY FINRA OR THE SEC
FINRA has barred this individual from acting as a broker or otherwise associating with a broker-dealer firm.
The representative was previously registered both as an investment adviser and as a broker. Visit BrokerCheck for more information on this individual's Broker record. Go to BrokerCheck Site
Registration History
200320042005200620072008200920102011201220132014IAMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)2010 - 2011 (1 year)IAWELLS FARGO INVESTMENTS, LLC (CRD# 10582)2005 - 2010 (5 years)IAWM FINANCIAL SERVICES, INC. (CRD# 599)2004 - 2005 (1 year)IAQUICK & REILLY, INC. (CRD# 11217)2003 - 2003 (<1 year)
Disclosure(s)
View By:
6/18/2013
Regulatory
Final
10/17/2012
Regulatory
Final
Previous Registration(s)
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 09/22/2010 - 10/07/2011 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) COSTA MESA, CA
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 09/27/2005 - 09/27/2010 WELLS FARGO INVESTMENTS, LLC (CRD#:10582) HUNTINGTON BEACH, CA
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 05/21/2004 - 10/05/2005 WM FINANCIAL SERVICES, INC. (CRD#:599) LONG BEACH, CA
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 04/02/2003 - 09/11/2003 QUICK & REILLY, INC. (CRD#:11217) NEWPORT BEACH, CA
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.