Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sergio? Claim Your ProfileSergio Garza has been in the financial industry since August 12, 2001. Sergio is currently registered with PNC Investments as a Registered Representative. Previously, Sergio was affiliated with LPL Financial LLC, CUNA Brokerage Services, Inc., TD Ameritrade, Inc., CyberTrader, Inc., Charles Schwab & Co., Inc., and Janus Distributors, Inc. Sergio holds the Series 6, 7, 9, 10, 63 and 66 licenses and has a strong background in investment management for both individuals and businesses. Sergio's primary specialty areas are retirement planning, college savings, and estate planning.
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.
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.
A percentage of the total value of assets under management is charged.
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2
TX
07/26/2021 - Present
PNC Investments (BEE CAVE TX)
TX
12/11/2020 - 07/15/2021
LPL FINANCIAL LLC (AUSTIN TX)
TX
01/03/2008 - 12/08/2020
CUNA BROKERAGE SERVICES, INC. (HOUSTON TX)
TX
08/20/2002 - 02/08/2007
TD AMERITRADE, INC. (HOUSTON TX)
TX
05/30/2002 - 07/24/2002
CYBERTRADER, INC. (AUSTIN TX)
TX
10/18/2000 - 05/30/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CO
05/23/2000 - 07/25/2000
JANUS DISTRIBUTORS, INC. (DENVER CO)
BOTH
Issued 05/15/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/30/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/08/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/03/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/2000
Series 7 - General Securities Representative Examination
BC
Issued 05/22/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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