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Rafael Alberto Garcia

Investment Adviser Representative at CALTON & ASSOCIATES, INC.

Laguna Hills, CACRD #2981183Investment Adviser Rep
Disclosure(s) on record — verify on FINRA BrokerCheck
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
28 yrs
States Registered
4 states
Exams Passed
4

Professional summary

Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.

Rafael Alberto Garcia has worked in the securities industry since 1998. They are registered to provide investment advisory services in California, Nevada, Utah, and Washington.

Registrations & licenses

Registration type
Investment Adviser Rep
Registered in 4 states
CaliforniaNevadaUtahWashington
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 9/27/2024
Series 63
Uniform Securities Agent State Law Examination
Passed 12/4/1997
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 6
Investment Company Products/Variable Contracts Representative Examination
Passed 2/17/1998

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Blended rate
0.026
Account minimum: $50,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Calton & Associates, Inc. Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

CALTON & ASSOCIATES, INC.Current
10/17/2024Laguna Hills, CA
CALTON & ASSOCIATES, INC.Current
7/2/2019Laguna Hills, CA
CAPITAL FINANCIAL SERVICES, INC.
3/7/20077/1/2019Laguna Hills, CA
UNITED HERITAGE FINANCIAL SERVICES, INC.
8/1/20063/7/2007Laguna Hills, CA
AMERITAS INVESTMENT CORP.
12/19/20035/18/2006Lincoln, NE
SCF SECURITIES, INC.
1/24/200011/26/2003San Diego, CA
WMA SECURITIES, INC.
2/18/199812/31/1999Duluth, GA

Official records & sources

Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Rafael Alberto 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.

Rafael Alberto Garcia - Financial Advisor in Laguna Hills, CA | AdvisorFinder