Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard De la Garza is an investment advisor representative and has been in the industry since 2001. Richard is currently registered with LPL Financial LLC and has held previous registrations with Oppenheimer & Co. Inc., SWS Financial Services, Southwest Securities, Inc., and Citigroup Global Markets Inc. Richard is a licensed Series 63 and 65 advisor and has passed the Series 7, 9, 10, 31, and SIE exams. Richard has a broad range of experience in the industry and is dedicated to providing exceptional service to his clients.
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.
Consulting and other non-discretionary advisory services
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.
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2
TX
05/05/2017 - Present
LPL Financial LLC (AUSTIN TX)
TX
03/15/2010 - 04/26/2017
OPPENHEIMER & CO. INC. (AUSTIN TX)
TX
11/20/2009 - 03/15/2010
SWS FINANCIAL SERVICES (AUSTIN TX)
TX
10/01/2004 - 11/20/2009
SOUTHWEST SECURITIES, INC. (AUSTIN TX)
NY
04/03/2001 - 10/14/2004
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
IA
Issued 06/25/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/28/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/09/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 04/02/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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