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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Guillermo? Claim Your ProfileGuillermo Garcia is a financial advisor at Morgan Stanley. Guillermo has been in the financial services industry since 2002, and has been registered with the Securities and Exchange Commission (SEC) as a broker-dealer and investment adviser representative. Guillermo is currently registered with the SEC in Texas, Virginia and the District of Columbia, and is also registered with the Financial Industry Regulatory Authority (FINRA). In the past, Guillermo has been employed at UBS Financial Services Inc. and Citigroup Global Markets Inc. Guillermo has passed several securities exams, including the Uniform Combined State Law Examination, the Securities Industry Essentials Examination, the Futures Managed Funds Examination and the General Securities Representative Examination. Guillermo is currently registered as an investment advisor representative in the District of Columbia, Texas, and Virginia. Guillermo's client types include insurance companies, investment companies, charitable organizations, high-net-worth individuals, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, and individuals other than high-net-worth.
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
DC
02/14/2022 - Present
Wealthpenn.comllc (Washington DC)
DC
09/19/2008 - 11/02/2021
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
DC
04/19/2002 - 10/02/2008
CITIGROUP GLOBAL MARKETS INC. (WASHINGTON DC)
BOTH
Issued 5/30/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 3/24/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 4/18/2002
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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