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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)17 years in industry

Sergio Gerardo Garcia

Advisor at HIGHTOWER ADVISORS, LLC

CHICAGO, IL | Dallas, TX

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Search this name across graphsid dfx:ria:86dc171a-2b4b-4435-866c-81bba3d16d7a

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:37 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 2
On other graphs: 0
Observed: Jun 18, 2009 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: HIGHTOWER ADVISORS, 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: Jun 15, 2009earliest registration or exam on IAPD
Years in industry: 17derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S63|S66
First exam: Jun 15, 2009
First registration: Jun 18, 2009
Dual registered: yes, broker-dealer
Other names: SERGIO GARCIA|SERGIO G GARCIA
IAPD individual key: 5638860

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
HIGHTOWER ADVISORS, LLC	Bd affiliated wealth	Feb 9, 2023	n/a	yes	Dallas, TX\|CHICAGO, IL	Current employment
BFS ADVISORY GROUP, LLC	n/a	Sep 22, 2020	Jan 30, 2023	no	DALLAS, TX	Previous registration
FSC SECURITIES CORPORATION	Former SEC adviser	May 13, 2020	Jan 31, 2023	no	DALLAS, TX	Previous registration
QUEST CAPITAL MANAGEMENT, INC.	Former SEC adviser	Feb 29, 2016	Apr 20, 2020	no	DALLAS, TX	Previous registration
OMEGA WEALTH MANAGEMENT LLC	Independent wealth	Jun 18, 2014	Jun 17, 2015	no	ARLINGTON, VA	Previous registration
THE GARDNER GROUP	Independent wealth	Jan 18, 2012	Jan 27, 2014	no	DALLAS, TX	Previous registration
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jun 18, 2009	Mar 21, 2011	no	DALLAS, TX	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
FSC SECURITIES CORPORATION	BFS ADVISORY GROUP, LLC	Jan 31, 2023	Sep 22, 2020	-861	Firm change after gap	Other
BFS ADVISORY GROUP, LLC	HIGHTOWER ADVISORS, LLC	Jan 30, 2023	Feb 9, 2023	10	Firm change	Other
QUEST CAPITAL MANAGEMENT, INC.	FSC SECURITIES CORPORATION	Apr 20, 2020	May 13, 2020	23	Firm change	RIA to ibd
OMEGA WEALTH MANAGEMENT LLC	QUEST CAPITAL MANAGEMENT, INC.	Jun 17, 2015	Feb 29, 2016	257	Firm change	Other
THE GARDNER GROUP	OMEGA WEALTH MANAGEMENT LLC	Jan 27, 2014	Jun 18, 2014	142	Firm change	Other
MSI FINANCIAL SERVICES, INC.	THE GARDNER GROUP	Mar 21, 2011	Jan 18, 2012	303	Firm change	Other

Relationships

Registered with (7)

→ HIGHTOWER ADVISORS, LLCRegistered adviserregistration: current employment
Feb 9, 2023 to presentfactForm ADV
→ FSC SECURITIES CORPORATIONRegistered adviserregistration: previous registration
May 13, 2020 to Jan 31, 2023factForm ADV
→ BFS ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Sep 22, 2020 to Jan 30, 2023factForm ADV
→ QUEST CAPITAL MANAGEMENT, INC.Registered adviserregistration: previous registration
Feb 29, 2016 to Apr 20, 2020factForm ADV
→ OMEGA WEALTH MANAGEMENT LLCRegistered adviserregistration: previous registration
Jun 18, 2014 to Jun 17, 2015factForm ADV
→ THE GARDNER GROUPRegistered adviserregistration: previous registration
Jan 18, 2012 to Jan 27, 2014factForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jun 18, 2009 to Mar 21, 2011factForm ADV

Dated events

Occurred
Jan 31, 2023
Advisor changed firm
Sergio Gerardo Garcia left Fsc Securities Corporation for Bfs Advisory Group, Llc (registered 2020-09-22)
Form ADVobserved 5 days ago
Occurred
Jan 30, 2023
Advisor changed firm
Sergio Gerardo Garcia left Bfs Advisory Group, Llc for Hightower Advisors, Llc (registered 2023-02-09)
Form ADVobserved 5 days ago