Roberto GarciaCRD Number: 1877805
Current Firm: Mora Wealth Management LLC
Roberto Garcia (CRD# 1877805) is an Investment Advisor Representative working at Mora Wealth Management LLC in Miami, FL and has over 28 years of experience in the finance industry.
Northstar Financial Planners, Inc.
|Mora Wm Securities LLC||Miami, FL||Jan 2013 - Current||4|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Miami, FL||Aug 1988 - Oct 2012||24|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Oct 1988|
|S65||NASAA Investment Advisors Law Examination||Jan 2006|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Employer Dispute
- Customer Dispute
Total Assets Under Management540MILLIONS
Total Number of Accounts584ACCOUNTS
Average Account Value$925,000
- A percentage of assets under your management
- Performance-based fees
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
AZ, CA, CO, CT, DC, DE, FL, GA, IL, KS, MA, MD, ME, MI, MO, NC, NH, NJ, NY, PA, SC, TX, VT, WI
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