Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diego? Claim Your ProfileDiego N. Garcia is a financial advisor with Morgan Stanley. Diego has been in the industry since 2019 and holds Series 7, 63, 66 and SIE licenses. Diego is registered with the Securities and Exchange Commission (SEC) and with the Financial Industry Regulatory Authority (FINRA). In addition to his current role with Morgan Stanley, Diego has previously held positions at JPMorgan Securities, LLC, Vanguard Marketing Corporation, and Independent Investment Bankers, Corp. Diego's expertise includes asset allocation advice, financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, individuals, and investment companies.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
AZ
03/06/2023 - Present
Morgan Stanley (GILBERT AZ)
NY
02/22/2022 - 07/22/2022
JUSTLY MARKETS LLC (NEW YORK NY)
TX
08/10/2021 - 12/24/2021
INDEPENDENT INVESTMENT BANKERS, CORP. (AUSTIN TX)
AZ
08/12/2020 - 08/05/2021
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC (Scottsdale AZ)
AZ
09/09/2019 - 07/16/2020
J.P. MORGAN SECURITIES LLC (PHOENIX AZ)
AZ
07/23/2018 - 08/20/2019
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
BOTH
Issued 03/03/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/31/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/20/2022
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/2018
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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