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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Thelma noemi? Claim Your ProfileThelma Noemi Garcia is a financial advisor with over 28 years of experience in the industry. Thelma Noemi Garcia is currently registered with Morgan Stanley and has been with the firm since July 2021. Before joining Morgan Stanley, Thelma Noemi Garcia worked with WELLS FARGO CLEARING SERVICES, LLC, from October 2000 to July 2021. Thelma Noemi Garcia holds a Series 63, Series 65, Series 66, Series 7, and SIE license. Thelma Noemi Garcia's specializations include investment advisory, securities brokerage, and other advisory services. Thelma Noemi Garcia is also a sole proprietor and owner of a rental property.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
FL
07/09/2021 - Present
Morgan Stanley (Miami FL)
FL
10/01/2000 - 07/14/2021
WELLS FARGO CLEARING SERVICES, LLC (MIAMI FL)
NC
12/22/1993 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BOTH
Issued 06/29/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 03/01/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/21/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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