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Sameer Garg

Wells Fargo Securities, LLC

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About Sameer Garg

Sameer Garg is a financial professional with over 20 years of experience in the industry. Sameer is currently registered with Wells Fargo Securities, LLC. Sameer has previously held positions at UBS Securities LLC, Barclays Capital Inc., and Lehman Brothers Inc. Sameer holds Series 7, Series 63, Series 79, SIE, and Series 99TO licenses. Sameer is registered in all 50 states and the District of Columbia.

Firm Information

Sameer Garg is currently registered with Wells Fargo Securities, LLC. Wells Fargo Securities, LLC is a Limited Liability Company formed in March 2003. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia, Puerto Rico, and the Virgin Islands.

Not reported

Assets Under Management

Not reported

Total Clients

1,325

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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Sameer Garg’s Registration & Firm History

NY

06/17/2016 - Present

Wells Fargo Securities, LLC (New York NY)

NY

10/29/2009 - 04/22/2016

UBS SECURITIES LLC (NEW YORK NY)

NY

09/22/2008 - 10/27/2008

BARCLAYS CAPITAL INC. (NEW YORK NY)

NY

10/07/1999 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 10/08/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/13/2014

Series 79 - Investment Banking Registered Representative Examination

BC

Issued 10/06/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sameer Garg.
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