David Garcia has been an investment adviser representative at Regal Advisory Services since June 2010, and is not listed among the firm’s executive officers or direct owners.
Regal Advisory Services, Inc. is a Glenview, IL firm with $121M under management, 274 clients and 16 advisers across 13 offices, as of its July 2026 filing.
- – present · 16 yearsGlenview, IL · Adviser representative · Firm CRD 123842
Investment adviser representative registrations
David Garcia is registered as an investment adviser representative in Illinois, since June 2010.
- IllinoisSince 29 June 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 79TO | Investment Banking Registered Representative Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 28 June 2010 |
| Series 24 | General Securities Principal Examination | 5 June 2006 |
| Series 4 | Registered Options Principal Examination | 22 September 2000 |
| Series 63 | Uniform Securities Agent State Law Examination | 23 April 1999 |
| Series 7 | General Securities Representative Examination | 12 April 1999 |
- Name
- Investment Banking Registered Representative Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Principal Examination
- Name
- Registered Options Principal Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- David George Garcia
- CRD
- 3197680
- Firm
- Regal Advisory Services · CRD 123842
- Office
- 950 NORTH MILWAUKEE AVENUE, SUITE 101, Glenview, IL 60025-3771
- Registration
- Investment adviser and broker registrations
- In the industry since
- April 1999
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does David Garcia work?
David Garcia is an investment adviser representative registered through Regal Advisory Services, Inc. since June 2010, and is not listed among the firm’s executive officers or direct owners.
Is David Garcia a financial advisor?
Yes. David Garcia has a current investment-adviser registration in Illinois, through Regal Advisory Services since June 2010.
How many years of experience does David Garcia have?
David Garcia has 27 years in the financial industry, since April 1999, across 1 adviser firm.
What exams has David Garcia passed?
David Garcia has passed 7 licensing exams: the Series 7, Series 63, Series 4, Series 24, Series 66, Series 79TO and Series 99TO. The earliest, the Series 7, was passed in April 1999. FINRA credited David Garcia with the SIE, which began in October 2018.
Where is David Garcia based?
David Garcia’s registered office is in Glenview, IL.
Is David Garcia registered with FINRA?
Yes. David Garcia has a current broker registration, under CRD 3197680.
Source: FINRA BrokerCheck
How can I verify David Garcia’s record?
Search CRD 3197680 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish David Garcia’s full registration record.