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Detailed Report
ADRIAN DELUREN GARCIA
ADRIAN GARCIA
CRD#: 6107061
IA
Investment Adviser
B
Broker
FIDELITY PERSONAL AND WORKPLACE ADVISORSCRD#: 288590 ONE DESTINY WAY
WESTLAKE, TX 76262
FIDELITY BROKERAGE SERVICES LLCCRD#: 7784 LEWISVILLE, TX
Registration History
201220142016201820202022202420262 FIRMS2021 - Present (3 years)BTIAA-CREF INDIVIDUAL & INSTITU... (CRD# 20472)2016 - 2021 (5 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2015 - 2016 (<1 year)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2012 - 2014 (1 year)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2012 - 2012 (<1 year)IAADVICE AND PLANNING SERVICES (CRD# 20472)2018 - 2021 (3 years)
Disclosure(s)
View By:
1/26/2022
Customer Dispute
Closed-No Action
License(s)

State Registrations

B
Massachusetts 7/27/2021
IA
Texas 11/2/2021
B
Texas 7/27/2021
B
Utah 7/27/2021

SRO Registrations

B
 FINRA
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
FIDELITY PERSONAL AND WORKPLACE ADVISORS (CRD#:288590)
ONE DESTINY WAY, WESTLAKE, TX 76262
Registered with this firm since 11/2/2021
B
FIDELITY BROKERAGE SERVICES LLC (CRD#:7784)
LEWISVILLE, TX
Registered with this firm since 7/27/2021
Previous Registration(s)
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IA
 02/26/2018 - 06/09/2021 ADVICE AND PLANNING SERVICES (CRD#:20472) Lewisville, TX
B
 06/17/2016 - 06/09/2021 TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CRD#:20472) Lewisville, TX
B
 07/23/2015 - 05/24/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) ABILENE, TX
B
 10/01/2012 - 09/04/2014 J.P. MORGAN SECURITIES LLC (CRD#:79) LODI, CA
B
 09/18/2012 - 10/01/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) MANTECA, CA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.