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RICHARD JAIME GARCIA
RICK J GARCIA
CRD#: 5237670
IA
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NAVY FEDERAL INVESTMENT SERVICES, LLCCRD#: 138459 Highlands Ranch, CO
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Disclosures
16
Years of Experience
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State Registrations
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Colorado 4/2/2019
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Colorado 4/22/2019
SRO Registrations
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Registered with this firm since 4/22/2019
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Registered with this firm since 4/2/2019
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 11/01/2013 - 03/31/2019 | WALL TOWNSHIP, NJ | |
B | 03/13/2008 - 03/08/2012 | DENVER, CO | |
B | 02/13/2008 - 03/10/2008 | DENVER, CO | |
B | 11/13/2006 - 01/15/2008 | ENGLEWOOD, CO |
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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.
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