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Jose M Garza

Charles Schwab & CO., Inc.

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About Jose M Garza

Jose Garza has been working in the financial services industry since 2004. Jose currently works for Charles Schwab & CO., Inc. as a registered representative. Jose holds a Series 7, Series 63, Series 66, and the Securities Industry Essentials Examination. Jose is also a Certified Financial Planner™. Before joining Charles Schwab & CO., Inc., Jose worked at J.P. Morgan Securities LLC, BBVA Securities Inc., USAA Financial Advisors, Inc., TIAA-CREF Individual & Institutional Services, LLC, Lincoln Financial Advisors Corporation, and TD Ameritrade, Inc.

Firm Information

Jose Garza is currently registered with Charles Schwab & CO., Inc.. Charles Schwab & CO., Inc. is a Corporation formed in April 1971, headquartered in San Francisco, California. The firm offers a range of advisory services including financial planning, selection of other advisors, and wrap fee programs. They have a broad client base including individuals, corporations, and other institutions. The firm manages over $50 billion in assets and operates in all 50 states and territories.
Charles Schwab & CO., Inc.

211 MAIN STREET

SAN FRANCISCO, CA 94105

Not reported

Assets Under Management

919,128

Total Clients

10,627

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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wrap fee program sponsor and financial planning advisor referral program

Wrap fee program sponsor and financial planning advisor referral program

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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other

Asset based fees for wrap pgrms & subsc pricing for fin planning

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Jose Garza’s Registration & Firm History

AZ

06/06/2022 - Present

Charles Schwab & CO., Inc. (Phoenix AZ)

AZ

09/03/2020 - 05/10/2022

J.P. MORGAN SECURITIES LLC (SCOTTSDALE AZ)

AZ

03/02/2018 - 09/01/2020

CHARLES SCHWAB & CO., INC. (Phoenix AZ)

AZ

04/17/2017 - 09/11/2017

BBVA SECURITIES INC. (PHOENIX AZ)

IL

11/21/2014 - 08/27/2015

USAA FINANCIAL ADVISORS, INC. (CHICAGO IL)

IL

05/23/2007 - 10/09/2014

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (CHICAGO IL)

MO

11/07/2006 - 04/25/2007

LINCOLN FINANCIAL ADVISORS CORPORATION (CLAYTON MO)

MO

05/25/2005 - 11/01/2006

TD AMERITRADE, INC. (ST. LOUIS MO)

MN

10/22/2004 - 05/09/2005

U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)

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Licenses & Designations

BOTH

Issued 07/20/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/15/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/19/2004

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Jose M Garza.
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