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RIA / WealthAdvisordual registered (broker-dealer)20 years in industry

Christopher David Garcia

Advisor at LPL FINANCIAL LLC

SANTA ROSA, CA

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Search this name across graphsid dfx:ria:3d6f2e95-5d1d-e4fd-ad81-e644dd1792d9

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 8:55 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 1
On other graphs: 0
Observed: Sep 10, 2007 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 14, 2006earliest registration or exam on IAPD
Years in industry: 20derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 2
Exams: S63|S66
First exam: Mar 14, 2006
First registration: Sep 10, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 4098268

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	Sep 19, 2024	n/a	yes	SANTA ROSA, CA	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Nov 14, 2019	Sep 18, 2024	no	SAN DIEGO, CA\|SAN RAFAEL, CA\|SAN FRANCISCO, CA\|Mill Valley, CA\|SANTA ROSA, CA	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	Feb 7, 2019	Oct 31, 2019	no	Santa Rosa, CA	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Feb 7, 2019	Oct 31, 2019	no	SANTA ROSA, CA	Previous registration
NPB FINANCIAL GROUP, LLC	Former SEC adviser	Apr 10, 2018	Jan 22, 2019	no	SANTA ROSA, CA	Previous registration
LPL FINANCIAL LLC	Bd affiliated wealth	Nov 29, 2017	Mar 8, 2018	no	LODI, CA	Previous registration
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Former SEC adviser	May 18, 2017	Nov 29, 2017	no	Napa, CA	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Oct 8, 2013	Sep 29, 2016	no	LARKSPUR, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 25, 2010	Jul 30, 2010	no	SONOMA, CA	Previous registration
BANC OF AMERICA INVESTMENT SERVICES, INC.	n/a	May 9, 2008	Mar 26, 2009	no	SANTA ROSA, CA	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Sep 10, 2007	May 1, 2008	no	SANTA ROSA, CA	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUSO FINANCIAL SERVICES, L.P.	LPL FINANCIAL LLC	Sep 18, 2024	Sep 19, 2024	1	Firm change	Ibd to ibd
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	CUSO FINANCIAL SERVICES, L.P.	Oct 31, 2019	Nov 14, 2019	14	Firm change	RIA to ibd
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Oct 31, 2019	Feb 7, 2019	-266	Channel change	Other
NPB FINANCIAL GROUP, LLC	TD AMERITRADE, INC.	Jan 22, 2019	Feb 7, 2019	16	Firm change	Other
LPL FINANCIAL LLC	NPB FINANCIAL GROUP, LLC	Mar 8, 2018	Apr 10, 2018	33	Firm change	RIA to RIA
NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	LPL FINANCIAL LLC	Nov 29, 2017	Nov 29, 2017	0	Firm change	Other
STRATEGIC ADVISERS LLC	NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)	Sep 29, 2016	May 18, 2017	231	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	STRATEGIC ADVISERS LLC	Jul 30, 2010	Oct 8, 2013	1,166	Firm change after gap	Other
BANC OF AMERICA INVESTMENT SERVICES, INC.	CHASE INVESTMENT SERVICES CORP.	Mar 26, 2009	May 25, 2010	425	Firm change after gap	Other
MORGAN STANLEY & CO. LLC	BANC OF AMERICA INVESTMENT SERVICES, INC.	May 1, 2008	May 9, 2008	8	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
42132:6413:CA:2024-09-18	Sep 18, 2024	Sep 19, 2024	SANTA ROSA, CA	Firm change
7870:111514:CA:2019-10-31	Oct 31, 2019	Feb 7, 2019	SANTA ROSA, CA	Firm change after gap
29604:6413:CA:2017-11-29	Nov 29, 2017	Nov 29, 2017	NAPA, CA	Firm change

Relationships

Registered with (10)

→ LPL FINANCIAL LLCRegistered adviserregistration: previous registration
Nov 29, 2017 to Mar 8, 2018factForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Nov 14, 2019 to Sep 18, 2024factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
Feb 7, 2019 to Oct 31, 2019factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Feb 7, 2019 to Oct 31, 2019factForm ADV
→ NPB FINANCIAL GROUP, LLCRegistered adviserregistration: previous registration
Apr 10, 2018 to Jan 22, 2019factForm ADV
→ NATIONAL PLANNING CORPORATION ("NPC OF AMERICA" IN FL & NY)Registered adviserregistration: previous registration
May 18, 2017 to Nov 29, 2017factForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Oct 8, 2013 to Sep 29, 2016factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 25, 2010 to Jul 30, 2010factForm ADV
→ BANC OF AMERICA INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
May 9, 2008 to Mar 26, 2009factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Sep 10, 2007 to May 1, 2008factForm ADV

Dated events

Occurred
Sep 18, 2024
Advisor changed firm
Christopher David Garcia left Cuso Financial Services, L.P. for Lpl Financial Llc (registered 2024-09-19)
Form ADVobserved 5 days ago