DG
DG
David Garcia
32 Years of Experience
Coral Gables, FL
23 DisclosuresBroker
David Garcia is a registered investment advisor at Morgan Stanley, based in Coral Gables, FL, with 32 years of industry experience. Their practice areas include Investment Management. Their firm serves 2,539,760 clients with $1700B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
23050 advisors
IM Fee
Planning only
Assets Under Management
$1650.0B
Fee Structure
Investment management only (planning not offered)
Annual Retainer:Up to $500,000/year
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Location
220 Alhambra Circle, 10th Floor, Coral Gables, FL, 33134
Get directionsHistory
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 2019Settled
Customer Dispute
August 2019Settled
Customer Dispute
August 2019Settled
Customer Dispute
July 2019Settled
Customer Dispute
April 2019Settled
Customer Dispute
March 2019Settled
Customer Dispute
December 2018Settled
Customer Dispute
October 2018Settled
Customer Dispute
August 2018Settled
Customer Dispute
May 2018Settled
Customer Dispute
May 2018Settled
Customer Dispute
March 2018Settled
Customer Dispute
August 2017Settled
Customer Dispute
December 2016Settled
Customer Dispute
September 2016Settled
Customer Dispute
August 2015Settled
Customer Dispute
July 2015Settled
Customer Dispute
July 2015Settled
Customer Dispute
May 2015Settled
Customer Dispute
December 2014Settled
Customer Dispute
July 2014Settled
Customer Dispute
June 2014Settled
Customer Dispute
November 2005Denied
Employment History
Current Registrations
Morgan Stanley
July 2014 - Present · 11 yrs 10 mos
Morgan StanleyBroker
April 2014 - Present · 12 yrs 1 mo
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
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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.