DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)29 years in industry

ROBERT MICHAEL GARCIA

Advisor at LPL FINANCIAL LLC

TUSTIN, CA | LAGUNA NIGUEL, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:995bec5c-815d-35de-090a-e9e5b5a25df4

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:07 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Aug 28, 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: Sep 1, 1997earliest registration or exam on IAPD
Years in industry: 29derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 7
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 27, 2007
First registration: Aug 28, 2007
Dual registered: yes, broker-dealer
Other names: ROBERT MICHAEL GARCIA|ROBERT MICHAEL GARCIA|ROBERT M GARCIA|ROBERT MICHAEL GARCIA
IAPD individual key: 5317394

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	May 15, 2025	n/a	yes	TUSTIN, CA\|LAGUNA NIGUEL, CA	Current employment
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Jan 13, 2023	May 15, 2025	no	Laguna Niguel,, CA\|SAN DIEGO, CA\|TUSTIN, CA\|LAGUNA NIGUEL, CA	Previous registration
WESCOM FINANCIAL SERVICES, LLC	Former SEC adviser	Nov 23, 2016	Feb 6, 2023	no	PASADENA, CA\|LAGUNA NIGUEL, CA\|TUSTIN, CA	Previous registration
CALTON & ASSOCIATES, INC.	Independent wealth	Dec 10, 2015	Nov 29, 2016	no	HUNTINGTON BEACH, CA\|Mission Viejo, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Mar 20, 2013	Nov 20, 2015	no	MISSION VIEJO, CA\|WESTMINSTER, CA	Previous registration
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Wirehouse	Nov 3, 2011	Mar 5, 2013	no	RANCHO SANTA MARGARITA, CA\|RANCHO SANTA MARGARITA, CA\|NEWPORT BEACH, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 3, 2011	Sep 27, 2011	no	LAGUNA NIGUEL, CA\|LAGUNA NIGUEL, CA\|IRVINE, CA	Previous registration
WELLS FARGO INVESTMENTS, LLC	n/a	Aug 28, 2007	Jan 3, 2011	no	LAGUNA BEACH, CA\|LAGUNA NIGUEL, CA\|LAGUNA NIGUEL, 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	May 15, 2025	May 15, 2025	0	Bulk transfer	Ibd to ibd
WESCOM FINANCIAL SERVICES, LLC	CUSO FINANCIAL SERVICES, L.P.	Feb 6, 2023	Jan 13, 2023	-24	Firm change	RIA to ibd
CALTON & ASSOCIATES, INC.	WESCOM FINANCIAL SERVICES, LLC	Nov 29, 2016	Nov 23, 2016	-6	Firm change	Other
J.P. MORGAN SECURITIES LLC	CALTON & ASSOCIATES, INC.	Nov 20, 2015	Dec 10, 2015	20	Firm change	Other
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	J.P. MORGAN SECURITIES LLC	Mar 5, 2013	Mar 20, 2013	15	Firm change	Wirehouse to wirehouse
WELLS FARGO ADVISORS	MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED	Sep 27, 2011	Nov 3, 2011	37	Firm change	Wirehouse to wirehouse
WELLS FARGO INVESTMENTS, LLC	WELLS FARGO ADVISORS	Jan 3, 2011	Jan 3, 2011	0	Bulk transfer	Other

Team moves

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

Team	Left	Joined	From	Kind
125650:42132:CA:2023-02-06	Feb 6, 2023	Jan 13, 2023	TUSTIN, CA	Firm change

Relationships

Registered with (8)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 15, 2025 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Jan 13, 2023 to May 15, 2025factForm ADV
→ WESCOM FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Nov 23, 2016 to Feb 6, 2023factForm ADV
→ CALTON & ASSOCIATES, INC.Registered adviserregistration: previous registration
Dec 10, 2015 to Nov 29, 2016factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Mar 20, 2013 to Nov 20, 2015factForm ADV
→ MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATEDRegistered adviserregistration: previous registration
Nov 3, 2011 to Mar 5, 2013factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 3, 2011 to Sep 27, 2011factForm ADV
→ WELLS FARGO INVESTMENTS, LLCRegistered adviserregistration: previous registration
Aug 28, 2007 to Jan 3, 2011factForm ADV

Dated events

Occurred
Feb 6, 2023
Advisor changed firm
Robert Michael Garcia left Wescom Financial Services, Llc for Cuso Financial Services, L.P. (registered 2023-01-13)
Form ADVobserved 5 days ago