Unclaimed Profile

David George Garcia

REGAL ADVISORY SERVICES, INC.·GLENVIEW, Illinois

SIE, Series 4, Series 7, Series 24, Series 63, Series 66, Series 79TO, Series 99TOClean record16 years registeredREGAL ADVISORY SERVICES, INC.

950 NORTH MILWAUKEE AVENUE, GLENVIEW, IL 60025-3771CRD# 3197680Firm CRD# 123842

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

David George Garcia · GLENVIEW, IL

Registration

CRD #3197680 · REGAL ADVISORY SERVICES, INC. · 16 years registered

Brand Profile

Not yet started

Career History

REGAL ADVISORY SERVICES, INC.

Jun 2010 – present

Registrations & Exams

FINRA examinations passed

SIE

Series 4

Series 7

Series 24

Series 63

Series 66

Series 79TO

Series 99TO

Registration record

First registered · June 29, 2010

Years registered · 16

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD, as of 14 August 2026. Verify on FINRA BrokerCheck →

Firm Overview

Firm

REGAL ADVISORY SERVICES, INC.

CRD 123842 · SEC 801-71619

AUM

$109M

Regulatory assets under management

Employees

284 client accounts

Services offered by REGAL ADVISORY SERVICES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Security ratings or pricing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at REGAL ADVISORY SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does David George Garcia offer?

David George Garcia specializes in Financial Planning, Investment Management. Contact their office in GLENVIEW, Illinois for a consultation.

What are David George Garcia's credentials?

David George Garcia is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is David George Garcia located?

David George Garcia is based in GLENVIEW, Illinois, working with REGAL ADVISORY SERVICES, INC.. Their office serves clients in the GLENVIEW metropolitan area and surrounding communities.

How does David George Garcia charge for services?

David George Garcia's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is REGAL ADVISORY SERVICES, INC.?

REGAL ADVISORY SERVICES, INC. has approximately 24 employees and manages $109M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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