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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Garrick? Claim Your ProfileGarrick P. Montenegro is an investment advisor representative with UBS Financial Services Inc. in NEW YORK, NY. Garrick has been in the industry since 1997 and holds multiple licenses including Series 7, 31, and 63. Garrick has also been a registered investment advisor in several states including Florida, New York, and Texas. Garrick has experience working with individuals, corporations, businesses, trusts, estates, and retirement plans. Garrick is also a registered investment advisor representative for other firms including J.P. MORGAN SECURITIES LLC and Wachovia Securities, LLC.
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
NY
06/24/2011 - Present
UBS Financial Services Inc. (NEW YORK NY)
NY
09/03/2004 - 06/30/2011
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
MO
07/01/2003 - 09/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
08/07/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
12/23/1997 - 08/06/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
10/02/1997 - 12/16/1997
CIBC OPPENHEIMER (NEW YORK NY)
NY
05/09/1997 - 09/09/1997
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
IA
Issued 04/21/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 05/01/1997
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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