Nicholas Garcia (CRD# 6091282) is an Investment Advisor Representative working at Compound Planning in Oakland, CA and has over 11 years of experience in the finance industry.
CRD# 3262592
Captrust
CRD# 4105009
Lowery Thomas, LLC
CRD# 1245314
Wealth & Tax Planners LLC
Company Name | Location | Dates | Years |
---|---|---|---|
Compound Planning | New York, NY | Oct 2023 - Current | < 1 |
Compound Advisers, Inc. | San Francisco, CA | Oct 2020 - Oct 2023 | 3 |
First Republic Securities, Company | San Francisco, CA | Jan 2017 - Oct 2020 | 3 |
First Republic Investment Management, Inc. | San Francisco, CA | Jan 2016 - Oct 2020 | 4 |
Morling Financial Advisors, LLC | San Francisco, CA | Sep 2014 - Dec 2016 | 2 |
Massmutual Life Insurance Company | Walnut Creek, CA | Mar 2014 - Sep 2014 | < 1 |
Mml Investors Services LLC | Walnut Creek, CA | Mar 2014 - Sep 2014 | < 1 |
Exam Code | Name | Passed Date |
---|---|---|
S66 | NASAA Uniform Combined State Law Examination | Sep 2012 |
S63 | Uniform Securities State Law Examination | Apr 2019 |
- CA
- TX
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Total Assets Under Management1,396MILLIONS
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Total Number of Accounts7,391ACCOUNTS
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Average Account Value$188,872
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Other
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Selection of other advisers (including private fund managers)
- Publication of periodicals or newsletters
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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