Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Gareth? Claim Your ProfileGareth William Vaz is a financial professional with over 10 years of experience in the financial services industry. Gareth William Vaz is currently registered with Charles Schwab & Co., Inc. and is located in Lone Tree, CO. Gareth William Vaz previously worked with DFA Securities LLC, American Funds Distributors, Inc., Charles Schwab & Co., Inc., PIMCO INVESTMENTS LLC, and ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC. Gareth William Vaz holds Series 3, 7, 63, 65, and 66 licenses.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CO
12/09/2022 - Present
Charles Schwab & CO., Inc. (Lone Tree CO)
TX
12/16/2019 - 09/21/2022
DFA SECURITIES LLC (AUSTIN TX)
CA
09/06/2018 - 10/21/2019
AMERICAN FUNDS DISTRIBUTORS, INC. (LOS ANGELES CA)
CO
03/07/2016 - 08/14/2018
CHARLES SCHWAB & CO., INC. (Lone Tree CO)
CA
02/14/2011 - 07/01/2013
PIMCO INVESTMENTS LLC (NEWPORT BEACH CA)
CA
01/05/2011 - 02/14/2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEWPORT BEACH CA)
BOTH
Issued 6/13/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 5/4/2009
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 5/16/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/7/2016
Series 7 - General Securities Representative Examination
BC
Issued 2/15/2011
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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