Catherine Patrice Garcia

CRD 6868031 · Merrill Lynch, Pierce, Fenner & Smith Incorporated · Mckinney, TX

IA RegisteredBroker

Also appears in the source record as: Patrice Garcia; Catherine Patrice White

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (4): Series 6TOSIESeries 7Series 66
Registered states (13): Arkansas · California · Colorado · Connecticut · Florida · Louisiana · Michigan · New Mexico · North Carolina · Oklahoma · Texas · Virginia · Washington
Years in the industry (source record): 7
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 (8)

From the source registration record · current first

Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Mckinney, TX · IA capacity

start not retrieved → present
Merrill Lynch, Pierce, Fenner & Smith IncorporatedCurrent
Mckinney, TX · BC capacity

start not retrieved → present
Thrivent Investment Management Inc.
Allen, TX · IA capacity

May 15, 2023 → Feb 21, 2024
Thrivent Investment Management Inc.
Allen, TX · BC capacity

May 15, 2023 → Feb 21, 2024
Transamerica Financial Advisors, Inc.
Plano, TX · IA capacity

Mar 18, 2022 → May 8, 2023
Transamerica Financial Advisors, Inc
Plano, TX · BC capacity

Mar 18, 2022 → May 8, 2023
Edward Jones
Little Elm, TX · IA capacity

Feb 2, 2018 → Mar 1, 2022
Edward Jones
Little Elm, TX · BC capacity

Dec 7, 2017 → Mar 1, 2022

Source & corrections

Where this page comes from

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SEC IAPD record for CRD 6868031 ↗ FINRA BrokerCheck record for CRD 6868031 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

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