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ALEX GARCIA
ALEXIS GARCIA, ALEXIS GARCIA-SIMON
CRD#: 5074315
IA
B
WELLS FARGO ADVISORSCRD#: 19616 8474 ROZITA LEE AVE STE 400
LAS VEGAS, NV 89113
LAS VEGAS, NV 89113
0
Disclosures
18
Years of Experience
View By:
State Registrations
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Alabama 6/6/2016
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Nevada 9/29/2014
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Alaska 6/6/2016
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Nevada 10/13/2014
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Arizona 6/6/2016
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New Hampshire 6/6/2016
B
Arkansas 6/6/2016
B
New Jersey 6/6/2016
B
California 6/6/2016
B
New Mexico 6/6/2016
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Colorado 6/6/2016
B
New York 6/6/2016
B
Connecticut 6/6/2016
B
North Carolina 6/7/2016
B
Delaware 6/6/2016
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North Dakota 6/6/2016
B
District of Columbia 6/6/2016
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Ohio 6/7/2016
B
Florida 6/6/2016
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Oklahoma 6/6/2016
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Georgia 6/6/2016
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Oregon 6/6/2016
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Hawaii 6/6/2016
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Pennsylvania 6/6/2016
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Idaho 6/6/2016
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Puerto Rico 6/6/2016
B
Illinois 6/6/2016
B
Rhode Island 6/6/2016
B
Indiana 6/6/2016
B
South Carolina 6/6/2016
B
Iowa 6/6/2016
B
South Dakota 6/6/2016
B
Kansas 6/6/2016
B
Tennessee 6/6/2016
B
Kentucky 6/6/2016
B
Texas 6/6/2016
B
Louisiana 6/6/2016
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Texas 6/10/2016
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Maine 6/6/2016
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Utah 6/6/2016
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Maryland 6/6/2016
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Vermont 6/6/2016
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Massachusetts 6/6/2016
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Virgin Islands 6/6/2016
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Michigan 6/6/2016
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Virginia 6/6/2016
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Minnesota 6/6/2016
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Washington 6/6/2016
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Mississippi 6/6/2016
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West Virginia 6/6/2016
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Missouri 6/6/2016
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Wisconsin 6/6/2016
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Montana 6/6/2016
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Wyoming 6/6/2016
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Nebraska 6/6/2016
SRO Registrations
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Registered with this firm since 10/13/2014
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Registered with this firm since 9/29/2014
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/01/2012 - 09/25/2014 | NORTH LAS VEGAS, NV | |
B | 10/01/2012 - 09/25/2014 | NORTH LAS VEGAS, NV | |
IA | 05/03/2012 - 10/01/2012 | PICO RIVERA, CA | |
B | 02/01/2010 - 10/01/2012 | PICO RIVERA, CA | |
B | 07/11/2006 - 06/02/2009 | BREA, 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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.