Nelly Garcia, financial advisor Santa Monica CA

Nelly Garcia

CRD Number: 5532939
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated

Nelly Garcia (CRD# 5532939) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Santa Monica, CA and has over 8 years of experience in the finance industry.

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Company Name Location Dates Years
Bank Of America, N.a. Santa Monica, CA Sep 2017 - Current 6
Merrill Lynch, Pierce, Fenner & Smith Incorporated Santa Monica, CA Apr 2017 - Current 6
Regal Investment Advisors Kentwood, MI Aug 2015 - Apr 2017 1
Jp Morgan Chase Pasadena, CA Jan 2013 - Jun 2015 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 2017
S65 NASAA Investment Advisors Law Examination Aug 2015
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, financial matters, and other matters required to be disclosed in which the advisor has been involved.

Get Details on the FINRA Advisor Check site
Contact Info for Nelly A. Garcia
Phone Number: 800-637-7455
Firm Website: https://www.merrill.com
Registered State(s):
  • CA
  • TX
By the Numbers
  • Total Assets Under Management
    1,271,594
    MILLIONS
  • Total Number of Accounts
    2,911,578
    ACCOUNTS
  • Average Account Value
    $436,737
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 businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • 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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