Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Alberto Munguia garcia is a registered investment advisor with Wells Fargo Clearing Services, LLC. Luis has been in the financial services industry since 2015. Luis currently holds FINRA Series 7, 9, 10, 24, 63 and 66 licenses, and is registered in multiple states. Prior to joining Wells Fargo Clearing Services, LLC, Luis worked at Robinhood Financial, LLC and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
Investment consulting services to institutional clients
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
AZ
10/07/2022 - Present
Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)
AZ
07/20/2021 - 08/09/2022
ROBINHOOD FINANCIAL, LLC (Tempe AZ)
AZ
03/04/2015 - 08/03/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CHANDLER AZ)
BOTH
Issued 10/14/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/26/2015
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/04/2023
Series 24 - General Securities Principal Examination
BC
Issued 12/20/2016
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/01/2016
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/04/2015
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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