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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Eric? Claim Your ProfileEric Garcia Moreno is a financial advisor with UBS Financial Services Inc. Eric Garcia Moreno has been working in the financial services industry since 2006 and has experience in a variety of areas, including portfolio management, financial planning, and investment advisory services. Eric Garcia Moreno is licensed to provide investment advice in multiple states and holds several professional designations. Eric Garcia Moreno has been registered with UBS Financial Services Inc. since 2017. Prior to that, Eric Garcia Moreno worked with Wells Fargo Clearing Services, LLC and Morgan Stanley.
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.
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.
See schedule d - miscellaneous
1
2
CA
11/27/2017 - Present
UBS Financial Services Inc. (LOS ANGELES CA)
CA
03/23/2015 - 11/29/2017
WELLS FARGO CLEARING SERVICES, LLC (BEVERLY HILLS CA)
CA
07/26/2010 - 01/22/2015
MORGAN STANLEY (BEVERLY HILLS CA)
CA
10/04/2005 - 04/30/2010
UBS FINANCIAL SERVICES INC. (WOODLAND HILLS CA)
BOTH
Issued 11/07/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/15/2010
Series 24 - General Securities Principal Examination
BC
Issued 10/03/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 08/04/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/23/2007
Series 4 - Registered Options Principal Examination
BC
Issued 03/30/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/26/2007
Series 3 - National Commodity Futures Examination
BC
Issued 09/30/2005
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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