Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joseph? Claim Your ProfileJoseph Garcia is a financial professional with over 7 years of experience in the financial industry. Joseph has a broad range of experience, having worked for both Wells Fargo Clearing Services, LLC and J.P. Morgan Securities LLC. Currently, Joseph is registered as an Investment Advisor Representative with J.P. Morgan Securities LLC and is actively working in the Houston, Texas area. Joseph is a Series 6, 7TO, 63 and 65 licensed professional and has successfully completed the Securities Industry Essentials Examination (SIE). Joseph has a focus on working with high-net-worth individuals, corporations or other businesses, individuals other than high-net-worth, insurance companies, charitable organizations, and pension and profit-sharing plans.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
TX
02/08/2022 - Present
J.p. Morgan Securities LLC (Houston TX)
TX
04/26/2019 - 06/09/2020
WELLS FARGO CLEARING SERVICES, LLC (KINGWOOD TX)
TX
10/23/2015 - 08/08/2017
J.P. MORGAN SECURITIES LLC (HUMBLE TX)
IA
Issued 07/01/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/04/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/23/2020
Series 7TO - General Securities Representative Examination
BC
Issued 08/08/2017
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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