Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sanae a.? Claim Your ProfileSanae Garcia is an experienced financial professional with over 30 years in the industry. Sanae has a strong background in providing investment advice and portfolio management to a diverse clientele, including high-net-worth individuals, corporations, and charitable organizations. Sanae currently works for UBS Financial Services Inc., a leading wealth management firm, where Sanae is registered as a Registered Representative and Investment Advisor Representative. Sanae holds a Series 7, Series 63, and Series 65 licenses, demonstrating Sanae's commitment to professional growth and knowledge. Previously, Sanae worked for Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Sanae's experience spans a variety of financial services firms, exposing Sanae to diverse investment strategies and market environments.
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.
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.
See schedule d - miscellaneous
1
2
CA
05/24/2011 - Present
UBS Financial Services Inc. (PASADENA CA)
CA
06/01/2009 - 04/05/2011
MORGAN STANLEY SMITH BARNEY (BEVERLY HILLS CA)
CA
08/25/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (BEVERLY HILLS CA)
NY
11/22/1989 - 09/08/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/25/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/18/1989
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
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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