Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jose? Claim Your ProfileJose Ricardo Garza is a financial advisor who has been in the industry since March 2011. Jose is currently registered with Rockefeller Financial LLC and previously held positions at G.RESEARCH, LLC, A. R. SCHMEIDLER & CO., INC., and GABELLI & COMPANY, INC. Jose has a Series 7, Series 86, Series 87 and SIE licenses. Jose has been registered with the state of NY since 2007. Jose specializes in providing investment advisory services, financial planning, and portfolio management for individuals and businesses. Jose Ricardo Garza is committed to helping clients reach their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
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2
NY
09/03/2021 - Present
Rockefeller Financial LLC (NEW YORK NY)
NY
07/12/2013 - 12/31/2019
G.RESEARCH, LLC (RYE NY)
NY
08/20/2012 - 12/21/2012
A. R. SCHMEIDLER & CO., INC. (NEW YORK NY)
NY
10/24/2007 - 06/07/2011
GABELLI & COMPANY, INC. (RYE NY)
BC
Issued 11/15/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/26/2009
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 09/02/2009
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/23/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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