Individual Firm
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Diego N Garcia
DIEGO N GARCIA, DIEGO NELSON GARCIA, Diego Garcia
CRD#: 6287387
IA
B
EDWARD JONESCRD#: 250 7373 E DOUBLETREE RANCH ROAD
SUITE 100
SCOTTSDALE, AZ 85258
SUITE 100
SCOTTSDALE, AZ 85258
0
Disclosures
5
Years of Experience
View By:
State Registrations
B
Arizona 1/31/2025
B
Nevada 1/31/2025
IA
Arizona 2/6/2025
B
New Mexico 1/31/2025
B
California 1/31/2025
B
New York 1/31/2025
B
Colorado 1/31/2025
B
Texas 1/31/2025
B
Florida 1/31/2025
IA
Texas 1/31/2025
SRO Registrations
B
B
B
B
View Exams Passed by the individual in the detailed report
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IA
Registered with this firm since 1/31/2025
B
Registered with this firm since 1/31/2025
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/06/2023 - 02/14/2025 | GILBERT, AZ | |
B | 02/03/2023 - 02/14/2025 | GILBERT, AZ | |
B | 02/22/2022 - 07/22/2022 | NEW YORK, NY | |
B | 08/10/2021 - 12/24/2021 | AUSTIN, TX | |
B | 08/12/2020 - 08/05/2021 | Scottsdale, AZ | |
B | 09/09/2019 - 07/16/2020 | PHOENIX, AZ | |
B | 07/23/2018 - 08/20/2019 | SCOTTSDALE, AZ |
Scottsdale, AZ
08/12/2020 - 08/05/2021
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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.