Helmut Garcia
Investment Adviser Representative at LPL Financial LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Helmut Garcia is an investment adviser representative with LPL Financial LLC in Pasadena, CA, where they have been registered since 2025. They have worked in the securities industry since 2011 and have been registered with 11 firms, including CUSO Financial Services, L.P. and MML Investors Services, LLC. They have passed 4 industry qualification exams, including the Series 66 (combined investment adviser and state securities agent), Series 7 (general securities representative), and Series 63 (state securities agent). They are registered to provide investment advice in California and Texas.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California, Texas
- Broker:
25 states and territories
Arizona, California, Colorado, Florida, Georgia, Idaho, Indiana, Kansas, Louisiana, Maine, Maryland, Michigan, Minnesota, Missouri, Nevada, New Mexico, New York, North Carolina, Oregon, Pennsylvania, South Carolina, Texas, Utah, Virginia, Washington
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Transamerica Financial Advisors, IncSep 2017 – Mar 2018Thousand Oaks, CA
- World Financial Group, Inc.Jan 2017 – Mar 2018Thousand Oaks, CA
- StudentJun 2016 – Jan 2017Los Angeles, CA
- The Retirement Group, LLCMar 2018 – Jun 2019San Diego, CA
- FSC SecuritiesMar 2018 – Jun 2019San Diego, CA
- Miramontes Capital LLCAug 2019 – Feb 2021Newport Beach, CA
- Purshe Kaplan Sterling InvestmentsOct 2019 – Feb 2021Newport Beach, CA
- MassMutual Life Insurance CompanyApr 2021 – Dec 2023Costa Mesa, CA
- MML Investor ServicesMay 2021 – Dec 2023Costa Mesa, CA
- CUSO Financial Services, LPDec 2023 – May 2025San Diego, CA
- Wescom Financial Services, LLCDec 2023 – May 2025Pasadena, CA
- LPL Financial LLCMay 2025 – no end date reportedPasadena, CA
Official records & sources
Data as of June 28, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About LPL Financial LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
- Hourly
- Fixed fee
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$25B+
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 24,114
- Offices listed on AdvisorFinder:
- 25
- Main office:
- Fort Mill, SC
- SEC file number:
- 801-10970
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of September 21, 2026
View full firm profileOther advisors at LPL Financial LLC
Showing 12 of 24,114 in the directory
Similar advisors in Pasadena, CA
Other advisors whose filed branch office is in the same city.
This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Helmut Garcia has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
BrokerCheck data is used subject to the FINRA BrokerCheck Terms of Use. Found something inaccurate? Report inaccurate data and we will correct any error we introduced. Errors in the underlying BrokerCheck record itself are referred to FINRA, which maintains that record.
Find the right advisor for you
Take the free 3-minute assessment to get matched with advisors who fit your goals.
Get Matched