Individual Firm
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JOSE MANUEL GARCIA
MANNY GARCIA, MANUEL GARCIA, JOSE MANUEL MANUEL Garcia
CRD#: 6450866
IA
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WELLS FARGO ADVISORSCRD#: 19616 2598 FAIR OAKS BLVD
SACRAMENTO, CA 95825
SACRAMENTO, CA 95825
0
Disclosures
9
Years of Experience
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State Registrations
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Arizona 2/25/2022
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Hawaii 10/18/2024
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California 2/25/2022
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New Jersey 2/25/2022
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California 2/25/2022
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Texas 2/25/2022
SRO Registrations
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View Exams Passed by the individual in the detailed report
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Registered with this firm since 2/25/2022
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Registered with this firm since 2/25/2022
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/23/2021 - 03/22/2022 | San Ramon, CA | |
B | 06/22/2021 - 03/22/2022 | San Ramon, CA | |
IA | 11/23/2020 - 06/10/2021 | ELK GROVE, CA | |
B | 05/16/2018 - 06/10/2021 | ELK GROVE, CA | |
B | 01/30/2018 - 05/16/2018 | ROSEVILLE, CA | |
B | 06/26/2017 - 11/17/2017 | STOCKTON, CA | |
B | 03/08/2017 - 06/05/2017 | STOCKTON, CA | |
B | 03/30/2015 - 01/25/2017 | SACRAMENTO, CA |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.