Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luis? Claim Your ProfileLuis Manuel Garcia is a registered representative and investment advisor representative with over 28 years of experience in the financial services industry. Luis Garcia currently works at Raymond James & Associates, Inc., where he has been registered since 2013. Previously, Luis Garcia worked at Morgan Keegan & Company, Inc. from 2003 to 2013, Wachovia Securities, LLC from 2003 to 2003, and Prudential Securities Incorporated from 1995 to 2003. Luis Garcia holds Series 7, Series 63, and Series 65 licenses. Luis Garcia is also registered to offer advisory services in 24 states, including Alabama, Arkansas, California, Connecticut, District of Columbia, Florida, Georgia, Kentucky, Louisiana, Minnesota, Mississippi, Missouri, Nevada, New Jersey, New York, North Carolina, North Dakota, Pennsylvania, South Carolina, Tennessee, Virginia, West Virginia, and Wisconsin. In addition to his work at Raymond James & Associates, Inc., Luis Garcia is also involved in rental real estate through 601 Madison Street LLC.
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.
Please see note in schedule d - miscellaneous
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
AL
02/13/2013 - Present
Raymond James & Associates, Inc. (Huntsville AL)
AL
08/29/2003 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (HUNTSVILLE AL)
MO
07/01/2003 - 09/02/2003
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
01/26/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 03/10/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/03/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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