Roberto Garcia, financial advisor Miami FL
58 score

Roberto Garcia

CRD 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.

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Company Name Location Dates Years
Mora Wm Securities LLC Miami, FL Jan 2013 - Current 3
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Roberto F. Garcia
Phone Number: 305-459-5400
Registered State(s):
  • FL
By the Numbers
  • Total Assets Under Management
    540
    MILLIONS
  • Total Number of Accounts
    584
    ACCOUNTS
  • Average Account Value
    $925,000
Compensation Options
  • A percentage of assets under your management
  • Performance-based fees
Advisory Services Offered
  • 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
  • Other
Types of Clients
Registered States

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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BADGES
58

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