Joseph Garcia has been Vice President of Pacific Financial Strategies since November 2009, is a control person of the firm and directly owns between 5% and 10% of it. Joseph Garcia holds a B.A. in Environmental Interpretation from California State University Chico.
Pacific Financial Strategies, Inc is a Thousand Oaks, CA firm with $201M under management, 713 clients and 3 advisers across 2 offices, as of its June 2026 filing.
Joseph Arthur Garcia is Vice President and founder of Pacific Financial Strategies, Inc. Garcia has over twenty five years of experience in the financial service industry and specializes in estate, financial, retirement, and investment planning for retirees, individuals, small businesses, and non-profit organizations.
Joseph Garcia’s longest registration is the current one, 16 years at Pacific Financial Strategies since 2010. Before joining Pacific Financial Strategies in 2010, Joseph Garcia was registered through Investment Advisors and Independent Advisers Group Corp.
- – present · 16 yearsThousand Oaks, CA · Adviser representative · Firm CRD 151434
- Investment Advisors– · 1 yearAgoura, CA · Adviser representative · Firm CRD 15708
- Independent Advisers Group Corp– · 3 yearsAgoura, CA · Adviser representative · Firm CRD 106684
- Jefferson Pilot Securities Corp– · 9 yearsAgoura, CA · Adviser representative · Firm CRD 3870
Investment adviser representative registrations
Joseph Garcia is registered as an investment adviser representative in California, since January 2010.
- CaliforniaSince 22 January 2010
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 63 | Uniform Securities Agent State Law Examination | 12 August 2004 |
| Series 65 | Uniform Investment Adviser Law Examination | 5 October 1998 |
| Series 7 | General Securities Representative Examination | 4 September 1998 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 24 March 1987 |
- Name
- Uniform Securities Agent State Law Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Joseph Arthur Garcia
- CRD
- 1626067
- Firm
- Pacific Financial Strategies · CRD 151434
- Role
- Vice President
- Office
- 223 E. THOUSAND OAKS BLVD., SUITE 403, Thousand Oaks, CA 91360
- Registration
- Investment adviser registration
- In the industry since
- October 1998
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- pacfs.com
Where does Joseph Garcia work?
Joseph Garcia has been Vice President of Pacific Financial Strategies, Inc since November 2009, and is a control person of the firm.
Is Joseph Garcia a financial advisor?
Yes. Joseph Garcia has a current investment-adviser registration in California, through Pacific Financial Strategies since January 2010.
How many years of experience does Joseph Garcia have?
Joseph Garcia has 28 years in the financial industry, since October 1998, across 4 adviser firms.
What exams has Joseph Garcia passed?
Joseph Garcia has passed 4 licensing exams: the Series 6, Series 7, Series 65 and Series 63. The earliest, the Series 6, was passed in March 1987.
Where did Joseph Garcia work before Pacific Financial Strategies?
Before Pacific Financial Strategies, Joseph Garcia was registered through Independent Advisers Group Corp, January 2000 to November 2003; Jefferson Pilot Securities Corp, October 1998 to March 2008.
Where is Joseph Garcia based?
Joseph Garcia’s registered office is in Thousand Oaks, CA.
Is Joseph Garcia registered with FINRA?
No. Joseph Garcia has no current broker registration.
How can I verify Joseph Garcia’s record?
Search CRD 1626067 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Joseph Garcia’s full registration record.