Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Karen? Claim Your ProfileKaren Garcia is a registered representative with UBS Financial Services Inc. based in SAN FRANCISCO, CA. Karen has been in the industry since 1995. Karen is also registered with the state of California as an investment advisor representative. Karen has previously worked at Robertson Stephens, Inc., BancAmerica Robertson Stephens, Hambrecht & Quist LLC, and Bear, Stearns & Co. Inc.. Karen holds the Series 7, Series 63, and Series 66 licenses, as well as the SIE.
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.
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.
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.
See schedule d - miscellaneous
1
2
CA
05/22/2001 - Present
UBS Financial Services Inc. (SAN FRANCISCO CA)
CA
09/01/1998 - 05/25/2001
ROBERTSON STEPHENS, INC. (SAN FRANCISCO CA)
CA
08/12/1998 - 09/01/1998
BANCAMERICA ROBERTSON STEPHENS (SAN FRANCISCO CA)
CA
08/03/1995 - 07/30/1998
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NY
07/13/1995 - 08/04/1995
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BOTH
Issued 02/05/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/28/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/1995
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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