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ERIK PAUL GARCIA
CRD#: 4453576
IA
B
NEW CENTURY FINANCIAL GROUP, LLCCRD#: 104553 3815 MACARTHUR BOULEVARD
SUITE 201
NEW ORLEANS, LA 70114
SUITE 201
NEW ORLEANS, LA 70114
OSAIC WEALTH, INC.CRD#: 23131 3815 MacArthur Blvd
Suite 201
New Orleans, LA 70114
Suite 201
New Orleans, LA 70114
0
Disclosures
23
Years of Experience
View By:
State Registrations
B
Arizona 10/18/2018
B
Minnesota 11/23/2022
B
California 10/1/2021
B
Mississippi 6/30/2015
B
Colorado 8/8/2017
B
Missouri 6/10/2019
B
Florida 6/30/2015
B
New York 10/28/2021
IA
Florida 9/9/2024
B
Ohio 10/5/2018
B
Georgia 1/19/2022
B
Oregon 7/18/2023
B
Idaho 4/30/2024
B
Pennsylvania 10/5/2018
B
Illinois 7/22/2015
B
South Carolina 9/15/2023
IA
Illinois 5/21/2024
B
Tennessee 7/30/2024
B
Indiana 3/7/2024
B
Texas 1/7/2016
B
Louisiana 6/30/2015
IA
Texas 12/14/2019
IA
Louisiana 7/7/2015
B
Washington 1/18/2022
B
Michigan 10/1/2021
SRO Registrations
B
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IA
Registered with this firm since 7/7/2015
B
Registered with this firm since 6/30/2015
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 08/23/2018 - 10/03/2018 | NEW ORLEANS, LA | |
IA | 04/23/2013 - 07/01/2015 | NEW ORLEANS, LA | |
B | 08/01/2008 - 07/01/2015 | LITTLETON, CO | |
B | 10/08/2001 - 08/07/2008 | NEW ORLEANS, LA |
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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.
IA
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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.