Gerardo GarzaCRD Number: 3129702
Current Firm: Vanguard Advisers Inc.
Gerardo Garza (CRD# 3129702) is an Investment Advisor Representative working at Vanguard Advisers Inc. in Scottsdale, AZ and has over 18 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|The Vanguard Group, Inc.||Scottsdale, AZ||Jun 2014 - Current||3|
|Unemployed||Peoria, AZ||Jun 2013 - Jun 2014||1|
|Bank Of America, Na||Sun City, AZ||Dec 2009 - Jun 2013||3|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Sun City West, AZ||Oct 2009 - Jun 2013||3|
|Banc Of America Investment Services, Inc.||Scottsdale, AZ||Dec 2008 - Oct 2009||< 1|
|Banc Of America Insurance Services, Inc.||Scottsdale, AZ||Dec 2008 - Oct 2009||< 1|
|Chase Investment Services Corp||San Antonio, TX||Jul 2006 - Nov 2008||2|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Nov 1998|
|S65||NASAA Investment Advisors Law Examination||Aug 2002|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Customer Dispute
- Judgments / Liens
Total Assets Under Management79,883MILLIONS
Total Number of Accounts546,930ACCOUNTS
Average Account Value$146,058
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV