Rosendo Garcia, financial advisor Northbrook IL

Rosendo Garcia

CRD Number: 7080921
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Rosendo Garcia (CRD# 7080921) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Northbrook, IL and has over 3 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Northbrook, IL Jan 2021 - Current 1
Merrill Lynch, Pierce, Fenner & Smith Incorporated Northbrook, IL Oct 2020 - Current 2
Healthworks Chicago, IL Sep 2020 - Oct 2020 < 1
Ameriprise Financial Services Inc. Chicago, IL Mar 2019 - Sep 2020 1
Chs Rochelle, IL Jan 2014 - Jan 2019 5
Illinois Natural History Survey Sterling, IL May 2013 - Dec 2013 < 1
Ocean Floor Phoenix, AZ Feb 2013 - May 2013 < 1
Unemployed Springfield, IL Aug 2012 - Feb 2013 < 1
Exam Code Name Passed Date
S65 NASAA Investment Advisors Law Examination Jun 2019
S63 Uniform Securities State Law Examination Jun 2019
Contact Info for Rosendo J. Garcia
Phone Number: 800-637-7455
Registered State(s):
  • IL
  • TX
By the Numbers
  • Total Assets Under Management
    1,283,838
    MILLIONS
  • Total Number of Accounts
    2,825,602
    ACCOUNTS
  • Average Account Value
    $454,359
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
  • Commissions
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
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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