Rhea Garcia, Operations

Rhea joined Caldwell in the Summer of 2017.  She brings with her knowledge and expertise in daily back office operations. She has worked in the industry for over 10 years primarily as a liaison between clearing firms and the introducing firms.

Legend Merchant Group

  • Assisted Senior Financial Consultants in opening of new accounts and related money and stock transfers, proxy votes and trade allocations.
  • Assisted the CEO and Senior Financial Consultants raising capital for both venture community as well as traditional working capital needs of growth companies.
  • Worked with high net worth investors selling initial public offering (IPO’s), Special Purpose Acquisition Company (SPAC) and private placements.

Ensured sales of restricted securities were compliant with the provision of SEC Rule 144 to include the following:

  • Obtaining investors representation letter.
  • Obtaining legal opinion from counsel.
  • Removing restricted legends from stock certificates.
  • Determining if the customer is an affiliated person of
    the issuer.
  • Ensuring appropriate holding periods are met.

Phone  | (415) 944-2094

Email   |  rhea@cald.com