David
Garza

Ubs Financial Services Inc

CRD#2488344
Investment Advisor
in Los Angeles, CA
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About this Advisor

David Garza is an advisor who lives in Los Angeles, California. Currently a registered financial advisor at Ubs Financial Services Inc, they have gathered 12 years of work experience as a financial advisor. Garza holds Series 65 and Series 63 licenses, which certify them as both a securities agent and an investment advisor representative. Garza can advise customers based out of California. Over the course of their career, they have held roles at Marhsall & Ilsley Bank (Delta Asset Management), Bny Mellon, Ubs Financial Services and City National Bank (City National Rochdale). Ubs Financial Services Inc is headquartered in Los Angeles, California, and has 369 other brick-and-mortar locations across the nation. Overall, Ubs Financial Services Inc manages $496 billion in assets dispersed across 922,927 client accounts and employs more than 13,402 people. The amount of assets the firm manages makes it one of the biggest financial advisory firms in the nation. The firm manages 453,419 accounts on a discretionary basis, meaning the advisor has the authority to make all investment decisions. Currently 52% of the investment firm's investors are high-net-worth individuals, meaning they have more than $1 million in investable assets. Ubs Financial Services Inc can provide financial planning services, portfolio management for individuals and small businesses, portfolio management for institutional clients, pension consulting services, selection of other advisers, publication of newsletters, security rating services and educational seminars. The firm may charge clients asset-based, hourly, fixed, commission-based and other fees.

Certifications and Registrations

Series 65, Series 63, Chartered Financial Analyst

Years of Experience

12 years

Services Offered

Financial planning services, Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Pension consulting services, Selection of other advisers, Publication of periodicals or newsletters, Security ratings or pricing services, Educational seminars/workshops

Fee Structure

Percentage of Assets, Hourly Charges, Fixed Fees, Commissions, Others

Disclosures

No

Office Location

2000 Avenue Of The Stars
Los Angeles, CA 90067

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Ubs Financial Services Inc Brokerage Details

Total Assets Under Management

$496,034,949,376

CA Average: $10,121,009,343
Total Number of Employees

13,335

CA Average: 92
Total Number of Accounts

957,738

CA Average: 6,978
Average Account Size

$517,923

CA Average: $1,450,417

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Investment Advisory Services

  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Pension consulting services
  • Selection of other advisers
  • Publication of periodicals or newsletters
  • Security ratings or pricing services
  • Educational seminars/workshops

David Garza Work History

David has 12 years of experience.

2017 - Present (2 years)

Ubs Financial Services

2010 - 2014 (4 years)

Bny Mellon

2010 - 2017 (7 years)

City National Bank (City National Rochdale)

2006 - 2010 (4 years)

Marhsall & Ilsley Bank (Delta Asset Management)

Disclosures

David Garza has no disclosures.

Please visit their SEC profile for more details.

This content was compiled from the SEC and FINRA.

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