Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roger? Claim Your ProfileRoger Garza is a financial advisor with over 20 years of experience in the industry. Roger is currently registered with Morgan Stanley and has previously worked with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Roger holds a Series 66, Series 7 and Series 31 licenses. He is registered in 27 states and specializes in working with individuals, high-net-worth individuals, insurance companies, investment companies, and charitable organizations. Roger's specializations include investment clubs, asset allocation advice, financial planning, pension consulting, and selection of other advisors.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
TX
06/01/2009 - Present
Morgan Stanley (San Antonio TX)
TX
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SAN ANTONIO TX)
TX
07/01/2002 - 04/02/2007
MORGAN STANLEY DW INC. (SAN ANTONIO TX)
BOTH
Issued 07/30/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 06/27/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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