Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Claudia? Claim Your ProfileClaudia Vazquez-geis is a financial professional with over 18 years of experience in the industry. Claudia is currently registered with LPL Financial LLC and has been with the firm since April 2024. Previously, Claudia has held positions at CETERA ADVISORS LLC, FIRST ALLIED SECURITIES, INC., RAYMOND JAMES FINANCIAL SERVICES, INC., SUNSET FINANCIAL SERVICES, INC., SLOAN SECURITIES CORP., and BANC OF AMERICA INVESTMENT SERVICES, INC.. Claudia holds Series 7, 24, 51, 63, and 66 licenses. Claudia specializes in providing financial planning, portfolio management, and consulting services to individuals, corporations, and other businesses. Claudia also provides consulting and other non-discretionary advisory services. Claudia is dedicated 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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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
CA
04/01/2024 - Present
LPL Financial LLC (FRESNO CA)
CA
01/09/2024 - 04/05/2024
CETERA ADVISORS LLC (FRESNO CA)
CA
08/15/2018 - 06/06/2022
FIRST ALLIED SECURITIES, INC. (FRESNO CA)
CA
05/09/2006 - 07/13/2018
RAYMOND JAMES FINANCIAL SERVICES, INC. (FRESNO CA)
MO
10/25/2005 - 03/16/2006
SUNSET FINANCIAL SERVICES, INC. (KANSAS CITY MO)
NJ
06/21/2005 - 09/21/2005
SLOAN SECURITIES CORP. (ENGLEWOOD CLIFFS NJ)
MA
04/24/2003 - 04/04/2005
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
BOTH
Issued 09/30/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/07/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/16/2007
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 06/18/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/22/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Claudia Vazquez-geis is the right advisor for you? Invested Better is here to help.
