Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roberto? Claim Your ProfileRoberto Alejandro Garfias is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Roberto has been in the financial industry since November 2005. Roberto holds Series 66, Series 7, and SIE licenses. Roberto is registered in 10 states and 2 districts, including California, Texas, Arizona, Hawaii, Nevada, New York, North Carolina, Oregon and Washington. Roberto has been with Wells Fargo Clearing Services, LLC since January 2023. Previously, Roberto was affiliated with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Wells Fargo Advisors, 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.
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
01/05/2023 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
06/06/2014 - 01/05/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (OAKLAND CA)
CA
01/03/2011 - 06/09/2014
WELLS FARGO ADVISORS, LLC (OAKLAND CA)
CA
11/14/2005 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (OAKLAND CA)
BOTH
Issued 11/22/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/10/2005
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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