Rosalia Garcia
Investment adviser representative at Oppenheimer & Co. Inc.
16 yearsExperience
1 stateRegistered in
$36.7BFirm assets
71 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsFixed or flat feeCommissions
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Pension consulting
Experience
16 years in the industry.
- Oppenheimer & Co, Inc.Sep 2021 to now
- Boustead Securities, LLCMay 2021 to Sep 2021
- Oppenheimer & Co Inc.Jul 2020 to Apr 2021
- Bico Drilling Tools, Inc.Oct 2018 to Jul 2020
- Ameriprise Financial Services IncJan 2018 to Jul 2018
- Oppenheimer & Co. Inc.Sep 2005 to Jan 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2017
- Series 65 · Uniform Investment Adviser Law2025
State registrations
Registered as an investment adviser representative in 1 state (CA).
Oppenheimer & Co. Inc.
$36.7BAssets managed
39,036Clients
1,161Advisers
71 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5080659
- Firm CRD
- 249