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Rudolph Anthony Garza

Foreside Fund Services, LLC

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About Rudolph Anthony Garza

Rudolph Anthony Garza is a financial professional with over 20 years of experience in the financial industry. He has worked with several prominent firms, including Royce Fund Services, LLC, PIMCO Investments LLC, and Legg Mason Investor Services, LLC. Currently, Rudolph Anthony Garza is registered with Foreside Fund Services, LLC in Los Angeles, California. He is licensed to conduct business in a number of states across the US.

Firm Information

Rudolph Garza is currently registered with Foreside Fund Services, LLC. Foreside Fund Services, LLC is a Limited Liability Company formed in 1998. It is registered to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. It has also been approved for SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

625

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Rudolph Garza’s Registration & Firm History

CA

06/29/2023 - Present

Foreside Fund Services, LLC (Los Angeles CA)

CA

02/16/2021 - 06/29/2023

FORESIDE FINANCIAL SERVICES, LLC (El Segundo CA)

NY

02/20/2015 - 01/19/2021

ROYCE FUND SERVICES, LLC (NEW YORK NY)

CA

02/14/2011 - 03/06/2014

PIMCO INVESTMENTS LLC (NEWPORT BEACH CA)

CA

06/03/2010 - 02/14/2011

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC (NEWPORT BEACH CA)

CA

12/01/2005 - 06/02/2010

LEGG MASON INVESTOR SERVICES, LLC (SAN MATEO CA)

MD

06/23/2005 - 12/01/2005

LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)

NY

09/21/1999 - 04/01/2004

PIMCO ADVISORS DISTRIBUTORS LLC (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 08/19/2010

Series 66 - Uniform Combined State Law Examination

BC

Issued 09/13/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/12/2010

Series 3 - National Commodity Futures Examination

BC

Issued 06/22/2007

Series 7 - General Securities Representative Examination

BC

Issued 09/20/1999

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Rudolph Anthony Garza.
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