Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Alex? Claim Your ProfileAlex Garcia is a financial advisor who has been in the industry since 2007. Alex is registered with Wells Fargo Clearing Services, LLC and holds Series 7, 6, 9, 10, 63 and 66 licenses. Alex is a specialist in providing investment advice to individuals and businesses. Alex's previous experience includes time at J.P. Morgan Securities LLC, Chase Investment Services Corp., and World Group Securities, Inc. Alex is licensed to provide investment advice in all 50 states and the District of Columbia. Alex is also registered with the state of Texas as an Investment Advisor Representative.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NV
06/10/2016 - Present
Wells Fargo Clearing Services, LLC (LAS VEGAS NV)
NV
10/01/2012 - 09/25/2014
J.P. MORGAN SECURITIES LLC (NORTH LAS VEGAS NV)
CA
02/01/2010 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (PICO RIVERA CA)
CA
07/11/2006 - 06/02/2009
WORLD GROUP SECURITIES, INC. (BREA CA)
BOTH
Issued 05/01/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/05/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/27/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/23/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/21/2011
Series 7 - General Securities Representative Examination
BC
Issued 07/07/2006
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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