Rafael Garcia
Rafael Garcia is a registered investment advisor at Calton & Associates, INC., based in Laguna Hills, CA, with 28 years of industry experience. Rafael is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 5,283 clients with $1.6B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.60% |
Fees are up to 2.60% and may be negotiable depending on the client, representative, and program selected.
Fee Estimator
Location
Laguna Hills, CA
Get directionsHistory
Regulatory History (1)
Customer Dispute
May 2014Other Business Activities
Rafael works as a tax preparer for Garcia & Associates, a tax preparation and consulting business. This non-investment related activity takes about half of Rafael's time.
Employment History
Current Registrations
Calton & Associates, INC.
Calton & Associates, INC.
Calton & Associates, INC.Broker
Previous Registrations
Capital Financial Services, INC.Broker
United Heritage Financial Services, INC.Broker
Ameritas Investment CORP.Broker
Scf Securities, INC.Broker
Wma Securities, INC.Broker
State Registrations4 states
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
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