Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rosalia? Claim Your ProfileRosalia Garcia is a financial professional with over 7 years of experience in the financial services industry. Rosalia has a strong background in securities and investment advisory services, having worked for several prominent firms including Oppenheimer & Co. Inc., Ameriprise Financial Services, Inc., and Bou stead Securities, LLC. Her expertise lies in providing financial planning and portfolio management services to a diverse clientele, including individuals, businesses, and retirement plans.
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.
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.
1
2
CA
09/21/2021 - Present
Oppenheimer & Co. Inc. (NEWPORT BEACH CA)
CA
06/16/2021 - 09/16/2021
SUTTER SECURITIES INCORPORATED (IRVINE CA)
CA
05/04/2021 - 09/16/2021
BOUSTEAD SECURITIES, LLC (IRVINE CA)
CA
07/02/2020 - 04/16/2021
OPPENHEIMER & CO. INC. (NEWPORT BEACH CA)
CA
01/23/2018 - 07/13/2018
AMERIPRISE FINANCIAL SERVICES, INC. (Los Angeles CA)
CA
12/01/2014 - 01/05/2018
OPPENHEIMER & CO. INC. (LOS ANGELES CA)
BC
Issued 12/12/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/04/2024
Series 99TO - Operations Professional Examination
BC
Issued 07/13/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/01/2014
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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