Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Manuel Garcia is a financial advisor registered with Wells Fargo Clearing Services, LLC. He has been in the industry since August 21, 2015 and holds a Series 6, 7, 63, and 66 license. He has a strong history of providing financial advice to individuals, high-net-worth clients, corporations, and institutions. In the past, Jose Manuel Garcia has worked for CHARLES SCHWAB & CO., INC., PRINCIPAL SECURITIES, INC., and NYLIFE SECURITIES LLC. Jose Manuel Garcia specializes in financial planning, portfolio management, and investment consulting services.
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.
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.
Investment consulting services to institutional clients
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.
1
2
CA
02/25/2022 - Present
Wells Fargo Clearing Services, LLC (ROSEVILLE CA)
CA
06/22/2021 - 03/22/2022
CHARLES SCHWAB & CO., INC. (San Ramon CA)
CA
05/16/2018 - 06/10/2021
PRINCIPAL SECURITIES, INC. (ELK GROVE CA)
CA
01/30/2018 - 05/16/2018
WELLS FARGO CLEARING SERVICES, LLC (ROSEVILLE CA)
CA
06/26/2017 - 11/17/2017
NYLIFE SECURITIES LLC (STOCKTON CA)
CA
03/08/2017 - 06/05/2017
BBVA SECURITIES INC. (STOCKTON CA)
CA
03/30/2015 - 01/25/2017
WELLS FARGO CLEARING SERVICES, LLC (SACRAMENTO CA)
BOTH
Issued 11/21/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/07/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/05/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/27/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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