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Roberto Garcia-Pallares
ROBERTO GARCIA PALLARES, Rob Garcia, Roberto Armando Garcia-Pallares
CRD#: 6990051
IA
Investment Adviser
B
Broker
J.P. MORGAN SECURITIES LLCCRD#: 79 150 University 4th Floor
Tempe, AZ 85281
Registration History
2018201920202021202220232024202520262 FIRMS2022 - Present (2 years)BROBINHOOD FINANCIAL, LLC (CRD# 165998)2021 - 2022 (1 year)BE*TRADE SECURITIES LLC (CRD# 29106)2019 - 2021 (1 year)BVANGUARD MARKETING CORPORATION (CRD# 7452)2018 - 2019 (1 year)IAE*TRADE CAPITAL MANAGEMENT, LLC (CRD# 42159)2020 - 2021 (<1 year)
License(s)

State Registrations

B
Alabama 11/4/2022

B
Nebraska 11/4/2022

B
Alaska 11/4/2022

B
Nevada 11/4/2022

B
Arizona 11/7/2022

B
New Hampshire 11/4/2022

IA
Arizona 11/9/2022

B
New Jersey 11/4/2022

B
Arkansas 11/4/2022

B
New Mexico 11/4/2022

B
California 11/4/2022

B
New York 11/4/2022

B
Colorado 11/4/2022

B
North Carolina 11/4/2022

B
Connecticut 11/4/2022

B
North Dakota 11/4/2022

B
Delaware 11/4/2022

B
Ohio 11/7/2022

B
District of Columbia 11/4/2022

B
Oklahoma 11/4/2022

B
Florida 11/4/2022

B
Oregon 11/4/2022

B
Georgia 11/4/2022

B
Pennsylvania 11/4/2022

B
Hawaii 11/4/2022

B
Puerto Rico 11/4/2022

B
Idaho 11/4/2022

B
Rhode Island 11/4/2022

B
Illinois 11/4/2022

B
South Carolina 11/4/2022

B
Indiana 11/4/2022

B
South Dakota 11/4/2022

B
Iowa 11/4/2022

B
Tennessee 11/4/2022

B
Kansas 11/4/2022

B
Texas 11/4/2022

B
Kentucky 11/4/2022

IA
Texas 2/6/2023

B
Louisiana 11/4/2022

B
Utah 11/4/2022

B
Maine 11/4/2022

B
Vermont 11/4/2022

B
Maryland 11/4/2022

B
Virgin Islands 11/4/2022

B
Massachusetts 11/4/2022

B
Virginia 11/4/2022

B
Michigan 11/4/2022

B
Washington 11/4/2022

B
Minnesota 11/4/2022

B
West Virginia 11/4/2022

B
Mississippi 11/4/2022

B
Wisconsin 11/4/2022

B
Missouri 11/4/2022

B
Wyoming 11/4/2022

B
Montana 11/4/2022

SRO Registrations

B
BOX Exchange LLC

B
Cboe BYX Exchange, Inc.

B
Cboe BZX Exchange, Inc.

B
Cboe C2 Exchange, Inc.

B
Cboe EDGA Exchange, Inc.

B
Cboe EDGX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
Investors' Exchange LLC

B
Long-Term Stock Exchange, Inc.

B
MEMX LLC

B
MIAX Emerald, LLC

B
MIAX PEARL, LLC

B
MIAX Sapphire

B
Miami International Securities Exchange, LLC

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
NYSE National, Inc.

B
Nasdaq BX, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq MRX, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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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
J.P. MORGAN SECURITIES LLC (CRD#:79)
150 University 4th Floor, Tempe, AZ 85281
Registered with this firm since 11/9/2022

B
J.P. MORGAN SECURITIES LLC (CRD#:79)
150 University 4th Floor, Tempe, AZ 85281
Registered with this firm since 11/4/2022

Previous Registration(s)
th hidden textth hidden textNameLocation
B
07/09/2021 - 08/09/2022 ROBINHOOD FINANCIAL, LLC (CRD#:165998) Tempe, AZ
IA
11/17/2020 - 07/20/2021 E*TRADE CAPITAL MANAGEMENT, LLC (CRD#:42159) Cupertino, CA
B
12/09/2019 - 07/20/2021 E*TRADE SECURITIES LLC (CRD#:29106) CUPERTINO, CA
B
09/17/2018 - 09/27/2019 VANGUARD MARKETING CORPORATION (CRD#:7452) SCOTTSDALE, AZ
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B
Broker
IA
Investment Adviser
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.