CHARLES HENRY GARRIDO (CHARLES HENRY GARRIDO JR, CHARLES H GARRIDO) is currently registered both as a broker and investment advisor since 10/30/2018 with A.G.P. / ALLIANCE GLOBAL PARTNERS of Chicago, Illinois.
According to FINRA’s BrokerCheck, available to the public on FINRA’s website, CHARLES H GARRIDO, has been in the securities industry for 42 years and has been listed with 6 firms. Garrido has 5 disclosures on his FINRA CRD report. Four disclosures are “Customer Disputes.” All the disputes have settled. Some of the allegations listed in part were, “lack of due diligence, unsuitable investments, breach of fiduciary duty, and failed to follow customers instructions.” Garrido comments on the reports and also denies the allegations.
There is a “Regulatory” disclosure listed on Garrido’s CRD report dated 12/17/2025 initiated by FINRA. CHARLES H GARRIDO was fined $10,000.00 and suspended for 3 months. The allegations were, “Without admitting or denying the findings, Garrido consented to the sanctions and to the entry of findings that he exercised discretion in customer accounts without written authorization with approximately 2,500 trades in over 200 customer accounts. The findings stated that the customers understood Garrido was conducting trading in their accounts, none had given him prior written authorization, and his member firm had not accepted the accounts as discretionary. On each of his firm's annual compliance questionnaire, Garrido inaccurately stated that he did not exercise discretion in customer accounts. The findings also stated that Garrido sent text messages related to his securities business that were not retained by his firm. The text messages included, among other things, investment recommendations as well as information about specific trades, brokerage account performance and balances, transfers of funds, issuers, and market events. Garrido did not provide copies of those text messages to the firm, which caused his firm to maintain incomplete records of business communications in violation of Section 17(a) of the Exchange Act and Exchange Act Rule 17a-4(b)(4).” Garrido has left a “Broker Comment” on the report.
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