Hector Garza

CRD 5456996 · Wells Fargo Advisors · Palo Alto, CA

IA RegisteredBroker

Registration & licensing

As recorded in SEC IAPD / FINRA BrokerCheck

Broker-dealer registration: Active
Investment adviser registration: Active
Exams passed (3): SIESeries 7Series 66
Registered states (15): Arizona · California · Connecticut · Delaware · Illinois · Indiana · Louisiana · Minnesota · Nevada · New Jersey · New York · Oregon · Virginia · Washington · Wisconsin
Years in the industry (source record): 18
Professional designations: Not yet retrieved from the source record

Disclosures

Copied from the official record

No disclosure events are flagged in the source record as of Aug 20, 2026.

This reflects our copy of the record on that date only. Confirm the current position on FINRA BrokerCheck ↗ or SEC IAPD ↗.

Current firm

From the firm record

Firm: Wells Fargo Advisors
Firm CRD: 19616
SEC number: 801-37967
Assets under management: $671.4B as of Jun 23, 2026
Website: www.twitter.com/WFINVESTING ↗
Phone: 314-875-3000
Firm location: St. Louis, MO, 63103-2205

Employment history (10)

From the source registration record · current first

Wells Fargo AdvisorsCurrent
Palo Alto, CA · IA capacity

start not retrieved → present
Wells Fargo Clearing Services, LLCCurrent
Palo Alto, CA · BC capacity

start not retrieved → present
Mariner Advisor Network
San Jose, CA · IA capacity

Jul 18, 2017 → Nov 11, 2025
Lpl Financial LLC
San Jose, CA · BC capacity

Jun 23, 2014 → Nov 6, 2025
Lpl Financial LLC
San Jose, CA · IA capacity

Jun 23, 2014 → Oct 6, 2020
Pfg Advisors
Stanford, CA · IA capacity

May 22, 2015 → Oct 11, 2017
Cuso Financial Services, L.P.
Redwood City, CA · IA capacity

Nov 30, 2010 → Jun 30, 2014
Cuso Financial Services, L.P.
Redwood City, CA · BC capacity

Nov 24, 2010 → Jun 30, 2014
Banc Of America Investment Services, Inc.
San Francisco, CA · IA capacity

Feb 25, 2008 → Mar 26, 2009
Banc Of America Investment Services, Inc.
San Francisco, CA · BC capacity

Jan 21, 2008 → Mar 26, 2009

Source & corrections

Where this page comes from

Advisor registration data on this site is reproduced from the SEC's Investment Adviser Public Disclosure (IAPD) system and FINRA's BrokerCheck. Those systems are the official records; this site is not. We do not alter the factual content of the records we reproduce.

SEC IAPD record for CRD 5456996 ↗ FINRA BrokerCheck record for CRD 5456996 ↗ BrokerCheck Terms of Use ↗ Report a data error on this page →

Data compiled Aug 20, 2026. Source: BROKERCHECK. Your use of BrokerCheck data reproduced here is subject to FINRA's Terms of Use.

Preview release — partial coverage. This is a public-records lookup tool, not investment advice, not a recommendation, and not an endorsement of any advisor. Registration status shown here is a copy of a government record and may be out of date; always confirm against SEC IAPD and FINRA BrokerCheck before acting.