Carlos M Garcia

CRD 4568112 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Coral Gables, FL

IA RegisteredBroker

Also appears in the source record as: Carlos Garcia; Carlos Manuel Garcia

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 65Series 66SIESeries 7
Registered states (1): Florida
Years in the industry (source record): 23
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Firm CRD: 7691
SEC number: 801-14235
Assets under management: $1.8T as of Jun 29, 2026
Website: www.merrilledge.com/GUIDED-INVESTING ↗
Phone: 800-637-7455
Firm location: New York, NY, 10036

Employment history (7)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Coral Gables, FL · IA capacity

Jun 25, 2025 → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Coral Gables, FL · BC capacity

start not retrieved → present
First Trust Advisors LP
IA capacity

Aug 6, 2019 → Jul 26, 2024
First Trust Portfolios L.P.
BD capacity

Oct 12, 2018 → Jul 26, 2024
Vanguard Marketing Corporation
BD capacity

Jan 13, 2012 → Oct 11, 2018
Merrill Lynch, Pierce, Fenner & Smith Incorporated
IA capacity

May 20, 2005 → Jan 4, 2012
Merrill Lynch, Pierce, Fenner & Smith Incorporated
BD capacity

Mar 20, 2003 → Jan 4, 2012

Source & corrections

Where this page comes from

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