Abel Garcia

Chief Compliance Officer
Prospera Financia




Abel is the Senior Vice President, Risk Management & CCO of Prospera Financial Services. As such, he directs the firms risk management and regulatory compliance issues.


Prior to joining Prospera, Abel began his career in internal audit for a regional banking institution. He qualified for the Certified Public Accounting certificate in 1988 and transitioned from the accounting field to the financial industry in 1993. He accepted the position as controller of Prospera in 1994 and progressed from CFO to CCO in 2005, taking over the firm’s compliance functions that year.


Abel graduated from the University of Texas at Austin with a BS in Accounting and currently holds the Series 7, 63, 27 and 87 securities licenses.