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Carlos Garcia is a registered investment advisor, based in Westport, CT, with 25 years of industry experience.
Location
Westport, CT
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Regulatory History (3)
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Customer Dispute
October 2024Settled
Regulatory
July 2013Final
Employment Separation After Allegations
July 2012Other Business ActivitiesSells Insurance
Carlos sells fixed index annuities and life insurance, spending about 20% of his time on this. He also dedicates about 10% of his time to health insurance and group benefits sales, and a few hours per week to term, whole life, and long-term care insurance sales.
Employment History
Current Registrations
Kovack Securities INC.Broker
October 2012 - Present · 13 yrs 7 mos
Kovack Advisors, INC.
October 2012 - Present · 13 yrs 7 mos
Previous Registrations
Metlife Securities INC.Broker
August 2004 - August 2012 · 8 yrs
Metlife Securities INC.
August 2004 - August 2012 · 8 yrs
Metropolitan Life Insurance CompanyBroker
August 2004 - July 2007 · 2 yrs 11 mos
First Montauk Securities CORP.
October 2000 - March 2004 · 3 yrs 5 mos
Four Seasons Asset Management INC
October 2000 - September 2004 · 3 yrs 11 mos
First Montauk Securities CORP.Broker
May 2000 - March 2004 · 3 yrs 10 mos
State Registrations9 states
CACTFLHINJNYOHSCTX
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.