Christopher Laurence Garcia

CRD 5749669 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · San Francisco, CA

IA RegisteredBroker

Also appears in the source record as: Christopher Garcia

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): SIESeries 7Series 63Series 66
Registered states (53): Alabama · Alaska · Arizona · Arkansas · California · Colorado · Connecticut · Delaware · District Of Columbia · Florida · Georgia · Hawaii · Idaho · Illinois · Indiana · Iowa · Kansas · Kentucky · Louisiana · Maine · Maryland · Massachusetts · Michigan · Minnesota · Mississippi · Missouri · Montana · Nebraska · Nevada · New Hampshire · New Jersey · New Mexico · New York · North Carolina · North Dakota · Ohio · Oklahoma · Oregon · Pennsylvania · Puerto Rico · Rhode Island · South Carolina · South Dakota · Tennessee · Texas · Utah · Vermont · Virgin Islands · Virginia · Washington · West Virginia · Wisconsin · Wyoming
Years in the industry (source record): 15
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 (5)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
San Francisco, CA · BC capacity

start not retrieved → present
Gl Investment Services, LLC
Waltham, MA · IA capacity

Dec 13, 2012 → Dec 31, 2014
Morgan Stanley Smith Barney LLC
Santa Rosa, CA · IA capacity

Mar 8, 2010 → Jan 21, 2011
Morgan Stanley Smith Barney
Santa Rosa, CA · BC capacity

Feb 5, 2010 → Jan 21, 2011

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 5749669 ↗ FINRA BrokerCheck record for CRD 5749669 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

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