Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Borquez is an investment advisor representative associated with Wells Fargo Clearing Services, LLC. Luis has been in the industry since September 20, 2000. Luis has 9 approved registrations as a registered representative in 11 states and 2 approved registrations as an investment advisor representative. Luis's branch office locations are Bakersfield, California and Fresno, California. Luis's specializations include retirement planning, financial planning, mutual funds and variable annuities.
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
CA
05/08/2024 - Present
Wells Fargo Clearing Services, LLC (BAKERSFIELD CA)
CA
10/01/2012 - 10/07/2015
J.P. MORGAN SECURITIES LLC (BAKERSFIELD CA)
CA
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (BAKERSFIELD CA)
CA
03/17/2005 - 05/02/2009
WAMU INVESTMENTS, INC. (BAKERSFIELD CA)
IL
02/22/2000 - 04/05/2000
GATEWAY INVESTMENT SERVICES, INC. (OAK PARK IL)
IL
09/01/1995 - 01/11/2000
GATEWAY INVESTMENT SERVICES, INC. (OAK PARK IL)
BOTH
Issued 12/11/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/21/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2007
Series 7 - General Securities Representative Examination
BC
Issued 03/16/2005
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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