DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
Registered advisor
Catherine Victoria Garcia
Certified Financial Planner
Feed of 09/15/2026
Also filed as Vickie Garcia
At current firm
6 y
since May 4, 2020
In the industry
27 y
since Nov 4, 1998 (earliest exam, job or registration)
Prior registered firms
3
IAPD previous registrations
State registrations
1
current, as an IAR
Firms today
1
current registrations
Exams
S66, S63
IA exams only
Book size
not public
not estimated here
Signals
0
dated events on this person
Registration history
IAPD current and previous registrations
- The Ameriflex Group BD affiliated currentsince May 4, 2020 · Las Vegas, Nv
- Sagepoint Financial, Inc. formerNov 5, 2018 to Jul 8, 2020 · Scottsdale, Az
- Securities America Advisors, Inc. formerMar 25, 2009 to Nov 5, 2018 · Scottsdale, Az
- Osaic Fs, Inc. formerNov 8, 2007 to Feb 13, 2009 · Scottsdale, Az
Moves
a registration end followed by a registration begin elsewhere
- Sagepoint Financial, Inc. to The Ameriflex Groupleft Jul 8, 2020, registered May 4, 2020 (-65 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- Securities America Advisors, Inc. to Sagepoint Financial, Inc.left Nov 5, 2018, registered Nov 5, 2018 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- Osaic Fs, Inc. to Securities America Advisors, Inc.left Feb 13, 2009, registered Mar 25, 2009 (40 days) · Other
Signals
No dated event on this person.
Transition signals
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
Provenance
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address