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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)27 years in industry

Freddy Garcia

Advisor at LEFT BRAIN WEALTH MANAGEMENT, LLC

NAPERVILLE, IL

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Search this name across graphsid dfx:ria:8a25cba5-d803-4d24-fc9a-e8944093f8cc

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 2:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Nov 9, 1999 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: LEFT BRAIN WEALTH MANAGEMENT, LLC
Current firm class: independent wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: May 27, 1999earliest registration or exam on IAPD
Years in industry: 27derivedfrom the industry start date
Years at current firm: 10derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: May 27, 1999
First registration: Nov 9, 1999
Dual registered: yes, broker-dealer
Other names: FRED GARCIA
IAPD individual key: 3227457

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
LEFT BRAIN WEALTH MANAGEMENT, LLC	Independent wealth	Aug 8, 2016	n/a	yes	NAPERVILLE, IL	Current employment
STRATEGIC ADVISERS LLC	National bd RIA	Feb 12, 2008	Aug 8, 2016	no	ORLAND PARK, IL\|OAKBROOK, IL	Previous registration
STRATEGIC ADVISERS LLC	National bd RIA	Sep 30, 2005	Jan 9, 2008	no	COVINGTON, KY	Previous registration
INVEST FINANCIAL CORPORATION	Former SEC adviser	Feb 9, 2005	Sep 8, 2005	no	TINLEY PARK, IL	Previous registration
CETERA ADVISOR NETWORKS LLC	Former SEC adviser	Jun 7, 2004	Feb 11, 2005	no	BURBANK, IL	Previous registration
METLIFE INVESTMENT FUND SERVICES LLC	n/a	Nov 9, 1999	May 24, 2004	no	MILWAUKEE, WI	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
STRATEGIC ADVISERS LLC	LEFT BRAIN WEALTH MANAGEMENT, LLC	Aug 8, 2016	Aug 8, 2016	0	Firm change	Ibd to RIA
INVEST FINANCIAL CORPORATION	STRATEGIC ADVISERS LLC	Sep 8, 2005	Sep 30, 2005	22	Firm change	Other
CETERA ADVISOR NETWORKS LLC	INVEST FINANCIAL CORPORATION	Feb 11, 2005	Feb 9, 2005	-2	Firm change	Other
METLIFE INVESTMENT FUND SERVICES LLC	CETERA ADVISOR NETWORKS LLC	May 24, 2004	Jun 7, 2004	14	Firm change	Other

Relationships

Registered with (5)

→ LEFT BRAIN WEALTH MANAGEMENT, LLCRegistered adviserregistration: current employment
Aug 8, 2016 to presentfactForm ADV
→ STRATEGIC ADVISERS LLCRegistered adviserregistration: previous registration
Feb 12, 2008 to Aug 8, 2016factForm ADV
→ INVEST FINANCIAL CORPORATIONRegistered adviserregistration: previous registration
Feb 9, 2005 to Sep 8, 2005factForm ADV
→ CETERA ADVISOR NETWORKS LLCRegistered adviserregistration: previous registration
Jun 7, 2004 to Feb 11, 2005factForm ADV
→ METLIFE INVESTMENT FUND SERVICES LLCRegistered adviserregistration: previous registration
Nov 9, 1999 to May 24, 2004factForm ADV

Dated events

No dated event names this entity yet.