Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Sylvia? Claim Your ProfileSylvia Geffen is a financial advisor with over 40 years of experience in the financial services industry. She is currently registered with Wells Fargo Advisors Financial Network, LLC and holds licenses in several states, including California and Texas. Sylvia has a strong track record of helping clients achieve their financial goals, specializing in areas such as investment consulting, financial planning, and pension consulting. She has held previous positions with Wells Fargo Clearing Services, LLC and Citigroup Global Markets Inc., among others. Sylvia holds various industry certifications, including Series 3, 5, 7, 15, 63, and 65.
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.
Investment consulting services to institutional clients
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.
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2
CA
06/07/2024 - Present
Wells Fargo Advisors Financial Network, LLC (LA JOLLA CA)
CA
06/04/2009 - 06/07/2024
WELLS FARGO CLEARING SERVICES, LLC (LA JOLLA CA)
CA
06/01/2006 - 06/16/2009
CITIGROUP GLOBAL MARKETS INC. (SAN DIEGO CA)
NY
05/26/1983 - 06/05/2006
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 07/06/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/24/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/08/1989
Series 3 - National Commodity Futures Examination
BC
Issued 06/21/1984
Series 5 - Interest Rate Options Examination
BC
Issued 06/20/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 05/21/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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