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David Garcia

Morgan Stanley
32 Years of Experience
Coral Gables, FL
23 DisclosuresBroker
View SEC Summary
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David Garcia is a registered investment advisor at Morgan Stanley, based in Coral Gables, FL, with 32 years of industry experience. David is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, High Net Worth, Investment Management, Retirement Planning. Their firm serves 2,703,720 clients with $2000B in assets under management.

Morgan Stanley
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23172 advisors
Number of Clients
2,703,720 clients
Average Client Portfolio
$726K average
Assets Under Management
$1961.9B

Fee Structure

Investment management only (planning not offered)

Morgan Stanley Smith Barney LLC charges a fee for its consulting services, which is generally payable quarterly in advance. The maximum fee for the services is $500,000, and fees are negotiable between the client and their private wealth advisor.

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Location

220 Alhambra Circle, 10th Floor, Coral Gables, FL, 33134

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History

Regulatory History (23)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
October 2019
Settled
Customer Dispute
August 2019
Settled
Customer Dispute
August 2019
Settled
Customer Dispute
July 2019
Settled
Customer Dispute
April 2019
Settled
Customer Dispute
March 2019
Settled
Customer Dispute
December 2018
Settled
Customer Dispute
October 2018
Settled
Customer Dispute
August 2018
Settled
Customer Dispute
May 2018
Settled
Customer Dispute
May 2018
Settled
Customer Dispute
March 2018
Settled
Customer Dispute
August 2017
Settled
Customer Dispute
December 2016
Settled
Customer Dispute
September 2016
Settled
Customer Dispute
August 2015
Settled
Customer Dispute
July 2015
Settled
Customer Dispute
July 2015
Settled
Customer Dispute
May 2015
Settled
Customer Dispute
December 2014
Settled
Customer Dispute
July 2014
Settled
Customer Dispute
June 2014
Settled
Customer Dispute
November 2005
Denied
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Morgan Stanley
July 2014 - Present · 12 yrs 3 mos
Morgan StanleyBroker
April 2014 - Present · 12 yrs 6 mos
Previous Registrations
Santander Securities LLCBroker
September 2006 - April 2014 · 7 yrs 7 mos
UBS Financial Services Incorporated of Puerto RicoBroker
September 1994 - September 2006 · 12 yrs
UBS Financial Services INC.Broker
December 1993 - September 2006 · 12 yrs 9 mos
State Registrations29 states
CACTDCDEFLGAHIIAILINKSKYLAMDMENCNENHNJNVNYPAPRSCTXVAWAWIWY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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