Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Carol? Claim Your ProfileCarol Garza is a financial advisor at Hilltop Securities Inc., where she has worked since March 2009. Carol has over 30 years of experience in the financial industry. She has extensive experience providing financial advice to individuals, high-net-worth individuals, and institutional clients. Carol holds Series 7, 52TO, 53, 63, 65, and 99TO licenses and has a strong track record of success. She is a dedicated professional who is committed to helping clients achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
04/06/2009 - Present
Hilltop Securities Inc. (DALLAS TX)
TX
09/25/2006 - 04/23/2009
CITIGROUP GLOBAL MARKETS INC. (DALLAS TX)
TX
04/09/2004 - 07/31/2006
MORGAN STANLEY DW INC. (ADDISON TX)
NY
04/15/1993 - 07/08/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
03/15/1991 - 03/08/1993
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)
TX
08/24/1988 - 11/26/1990
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
NA
01/21/1988 - 05/11/1988
REEVES AND COMPANY, INVESTMENTS AND SECURITIES, INC.
NA
08/07/1986 - 09/14/1987
STIFEL, NICOLAUS & COMPANY, INCORPORATED
NA
01/25/1984 - 08/20/1984
UNITED SECURITIES, INC.
IA
Issued 12/29/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/15/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/13/2022
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1984
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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