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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Ray Garza is a financial advisor currently registered with Morgan Stanley. James Ray Garza is licensed to offer securities and investment advisory services in 53 states and the District of Columbia. James Ray Garza has been in the financial services industry since May 2017. James Ray Garza holds the Series 7, 63 and 66 licenses as well as the SIE exam. James Ray Garza has previously been employed by E*TRADE Securities LLC and Wells Fargo Clearing Services, LLC. James Ray Garza provides investment advisory services, financial planning, pension consulting, educational seminars, and selection of other advisors.
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
TX
09/05/2023 - Present
Morgan Stanley (Dallas TX)
TX
07/30/2020 - 09/05/2023
E*TRADE SECURITIES LLC (Dallas TX)
TX
09/20/2019 - 08/07/2020
WELLS FARGO CLEARING SERVICES, LLC (ROANOKE TX)
TX
05/12/2017 - 09/03/2019
TD AMERITRADE, INC. (Southlake TX)
BOTH
Issued 05/03/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/12/2017
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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