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Hector Garza

Wells Fargo Clearing Services, LLC

Palo Alto, CA

Campbell, CA

San Jose, CA

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-11-05
  • CA RA
    APPROVED
    Since 2025-11-05

Branch Locations

505 S California Ave, Palo Alto, CA 94304 • United States

781 W Hamilton Ave, Campbell, CA 95008 • United States

50 W Fernando St. 15Th Fl, Ste 1500 [Lk/Nh-Rbo], San Jose, CA 95113 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Llc San Jose CA 06/2014 11/2025
Stanford Federal Credit Union Palo Alto CA 06/2014 07/2018
Pfg Advisors Stanford CA 05/2015 10/2017
Mariner Independent Advisor Network, Llc San Jose CA 07/2017 11/2025
Wells Fargo Clearing Services, Llc Palo Alto CA 11/2025 Present
Previous Registrations
  • 2017-07-18 → 2025-11-11
    Mariner Advisor Network
    Palo Alto, CA
    San Jose, CA
  • 2014-06-23 → 2020-10-06
    Lpl Financial Llc
    Palo Alto, CA
    Stanford, CA
    San Jose, CA
    San Jose, CA
  • 2015-05-22 → 2017-10-11
    Pfg Advisors
    Stanford, CA
    Palo Alto, CA
  • 2010-11-30 → 2014-06-30
    Cuso Financial Services, L.P.
    Campbell, CA
    Redwood City, CA
  • 2009-08-05 → 2010-11-17
    Lpl Financial Llc
    San Jose, CA
    Gilroy, CA
    Salinas, CA
    Salinas, CA
    San Jose, CA
    Los Gatos, CA
  • 2008-02-25 → 2009-03-26
    Banc Of America Investment Services, Inc.
    San Francisco, CA
    San Francisco, CA
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-02-19
  • S66 Uniform Combined State Law Examination
    2008-02-19
Designations

View on SEC IAPD

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STRATEGIC ADVISERS LLC · PALO ALTO, CA
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AMERIPRISE FINANCIAL SERVICES, LLC · Palo Alto, CA
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