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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose rene? Claim Your ProfileJose rene Garza is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Jose rene Garza has been in the industry since December 4, 1977 and has passed the Series 3, Series 63, Series 7, and Series 65 exams. Jose rene Garza has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since August 23, 1983 and has a total of 9 state registrations, 7 SRO registrations and 1 FINRA registration. Jose rene Garza is registered in California, Colorado, Delaware, District of Columbia, Florida, Illinois, New York, North Carolina, and Texas. Jose rene Garza also has experience with Bank of America, N.A. In addition to the above, Jose rene Garza has been a Limited Partner with Water Tower Village, Ltd., Uptown Plaza Ltd, and Valley Ventures, L.L. C.. The firm is headquartered in New York and has over 16,000 employees, $1 trillion in assets under management, and specializes in portfolio management for individuals, businesses, and pension plans. Merrill Lynch, Pierce, Fenner & Smith Inc. provides other advisory services such as performance measurement reports, allocation modeling, IPS, research reports and services, selection of other advisers, and educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
TX
08/23/1983 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MCALLEN TX)
NA
12/05/1977 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 1/24/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/13/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/8/1992
Series 3 - National Commodity Futures Examination
BC
Issued 11/19/1977
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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