Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Juan? Claim Your ProfileJuan Galvez is a financial advisor currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and has over 8 years of experience in the industry. Juan has passed the Series 63, 66, 7, and SIE exams and holds active registrations in multiple states, including California, Arizona, Florida, Nevada, Oregon, Texas and Washington. Juan has previously worked with Wells Fargo Clearing Services, LLC. Prior to becoming an advisor, Juan worked for Wells Fargo Bank, NA and Bank of America N.A. Juan has experience working with a variety of clients, including individuals, high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, insurance companies, and banking or thrift institutions. Juan specializes in financial planning, portfolio management, and retirement planning.
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
CA
12/01/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WHITTIER CA)
CA
09/16/2021 - 09/15/2022
WELLS FARGO CLEARING SERVICES, LLC (LA MIRADA CA)
CA
01/14/2020 - 05/26/2021
WELLS FARGO CLEARING SERVICES, LLC (CERRITOS CA)
BOTH
Issued 10/11/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/24/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/16/2021
Series 7TO - General Securities Representative Examination
BC
Issued 01/14/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/12/2019
SIE - Securities Industry Essentials 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
Not sure Juan Galvez is the right advisor for you? Invested Better is here to help.
