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RIA / WealthAdvisor30 years in industry

FRANKLIN JOE GARCIA

Advisor at HAMILTON-BATES INVESTMENT RESEARCH, INC.

YORBA LINDA, CA

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Search this name across graphsid dfx:ria:606fd14f-30da-c766-ec20-4a8921fa5211

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:00 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 0
On other graphs: 0
Observed: May 3, 2012 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: HAMILTON-BATES INVESTMENT RESEARCH, INC.
Current firm class: former SEC adviserderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jan 1, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
First registration: May 3, 2012
Dual registered: no
Other names: FRANK J GARCIA
IAPD individual key: 1725624

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
HAMILTON-BATES INVESTMENT RESEARCH, INC.	Former SEC adviser	Nov 5, 2025	n/a	yes	YORBA LINDA, CA	Current employment
HARVEST INVESTMENT SERVICES, LLC	Independent wealth	May 11, 2015	Jul 26, 2018	no	PLACENTIA, CA	Previous registration
CONCOURSE FINANCIAL GROUP ADVISORS	Former SEC adviser	Feb 5, 2014	Aug 14, 2018	no	BREA, CA\|LAGUNA BEACH, CA\|PLACENTIA, CA	Previous registration
HAMILTON-BATES INVESTMENT RESEARCH, INC.	Former SEC adviser	May 3, 2012	May 31, 2012	no	PLACENTIA, 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
CONCOURSE FINANCIAL GROUP ADVISORS	HARVEST INVESTMENT SERVICES, LLC	Aug 14, 2018	May 11, 2015	-1,191	Firm change after gap	Other
HARVEST INVESTMENT SERVICES, LLC	HAMILTON-BATES INVESTMENT RESEARCH, INC.	Jul 26, 2018	Nov 5, 2025	2,659	Firm change after gap	Other
HAMILTON-BATES INVESTMENT RESEARCH, INC.	CONCOURSE FINANCIAL GROUP ADVISORS	May 31, 2012	Feb 5, 2014	615	Firm change after gap	Other

Relationships

Registered with (3)

→ HAMILTON-BATES INVESTMENT RESEARCH, INC.Registered adviserregistration: previous registration
May 3, 2012 to May 31, 2012factForm ADV
→ CONCOURSE FINANCIAL GROUP ADVISORSRegistered adviserregistration: previous registration
Feb 5, 2014 to Aug 14, 2018factForm ADV
→ HARVEST INVESTMENT SERVICES, LLCRegistered adviserregistration: previous registration
May 11, 2015 to Jul 26, 2018factForm ADV

Dated events

No dated event names this entity yet.