JG
Jose M. Garza
SIMPLICITY WEALTH
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 4382352
JG
Professional summary
Jose M Garza, CFP®, who also goes by Jose M Garza, Jose Maximiliano Garza, Max J Garza, Jm Gaeza, Jose Max Garza, Jose (max) Garza, Jose Max Garza, is a registered financial advisor currently at SIMPLICITY WEALTH located in Scottsdale, Arizona.
Jose is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Jose has worked at 15 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jose M Garza | Jose Maximiliano Garza | Max J Garza | Jm Gaeza | Jose Max Garza | Jose (max) Garza | Jose Max Garza
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Jose M Garza's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
Experience
Current
April 2, 2026 - Present
SIMPLICITY WEALTH
Office #1: 8767 E Via De Ventura Suite 240, Scottsdale, AZ 85258RIA
CRD#: 300572
Scottsdale, AZ
Past
May 27, 2025 - January 29, 2026
STRATEGY FINANCIAL GROUP
RIA
CRD#: 164531
PHOENIX, AZ
Past
June 6, 2022 - May 16, 2025
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Phoenix, AZ
Past
June 6, 2022 - May 16, 2025
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Phoenix, AZ
Past
September 3, 2020 - May 10, 2022
J.P. MORGAN SECURITIES LLC
RIA
CRD#: 79
SCOTTSDALE, AZ
Past
September 3, 2020 - May 10, 2022
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
SCOTTSDALE, AZ
Past
June 19, 2018 - September 1, 2020
SCHWAB WEALTH ADVISORY, INC.
RIA
CRD#: 159035
PHOENIX, AZ
Past
March 2, 2018 - March 11, 2020
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Phoenix, AZ
Past
March 2, 2018 - September 1, 2020
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Phoenix, AZ
Past
April 25, 2017 - September 11, 2017
PNC MANAGED ACCOUNT SOLUTIONS, INC.
RIA
CRD#: 110476
Phoenix, AZ
Past
April 17, 2017 - September 11, 2017
BBVA SECURITIES INC.
BD
CRD#: 27060
PHOENIX, AZ
Past
September 5, 2015 - April 20, 2016
MERCER GLOBAL ADVISORS INC.
RIA
CRD#: 147363
SCHAUMBERG, IL
Past
November 21, 2014 - August 27, 2015
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
CHICAGO, IL
Past
November 21, 2014 - August 27, 2015
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
CHICAGO, IL
Past
March 6, 2008 - October 9, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
CHICAGO, IL
Past
May 23, 2007 - October 9, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
CHICAGO, IL
Past
November 7, 2006 - April 25, 2007
OSAIC FA, INC.
RIA
CRD#: 3978
CLAYTON, MO
Past
November 7, 2006 - April 25, 2007
OSAIC FA, INC.
BD
CRD#: 3978
CLAYTON, MO
Past
May 17, 2006 - November 1, 2006
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 111514
ST. LOUIS, MO
Past
July 27, 2005 - November 1, 2006
TD AMERITRADE, INC.
RIA
CRD#: 7870
ST. LOUIS, MO
Past
May 25, 2005 - November 1, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
ST. LOUIS, MO
Past
October 22, 2004 - May 9, 2005
U.S. BANCORP INVESTMENTS, INC.
BD
CRD#: 17868
SAINT PAUL, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
SIMPLICITY WEALTH
1ST CHOICE WEALTH | ZARA FINANCIAL GROUP | YAMAN FINANCIAL GROUP | WGD WEALTH MANAGEMENT | WEALTH FOR LIFE | WARD & ASSOCIATES FINANCIAL GROUP | WARD & ASSOCIATES | VOGEL RETIREMENT SOLUTIONS | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UFC WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | SUMMIT WEALTH DESIGNS | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIRE PRO | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | MONETA WEALTH MANAGEMENT | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | LRM RETIREMENT | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JCHRISTOPHER ADVISORS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HOFFMAN WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUIT ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | EPERSONAL FINANCIAL | ELITE FINANCIAL PLANNING SERVICES LLC | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CHEVALIER WEALTH AND ASSOCIATES | CATHURES WEALTH | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS
CRD#: 300572 / SEC#: 801-114798
RIA
Registered Investment Advisory firm - (3/11/2019 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Arizona(4/2/2026)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SIMPLICITY WEALTH
1ST CHOICE WEALTH | ZARA FINANCIAL GROUP | YAMAN FINANCIAL GROUP | WGD WEALTH MANAGEMENT | WEALTH FOR LIFE | WARD & ASSOCIATES FINANCIAL GROUP | WARD & ASSOCIATES | VOGEL RETIREMENT SOLUTIONS | VISION7 ADVISORY | VELTEN WATERHOUSE ADVISORS | VANTAGE FINANCIAL GROUP | UFC WEALTH | TUCKER FINANCIAL SERVICES | TRIUMPH PLANNING SOLUTIONS LLC | THE WHISLER AGENCY | THE RETIREMENT STRATEGIES | THE CORE FINANCIAL GROUP | THE BINNACLE GROUP | TAYLOR WEALTH AND INSURANCE | TAYLOR WEALTH & INSURANCE | SUMMIT WEALTH DESIGNS | STEWARD FINANCIAL SERVICES | STAYRETIRED WEALTH | SIMPLICITY WEALTH LLC | SIMPLICITY WEALTH | SIMPLICITY SOLUTIONS | SILVER SUMMIT FINANCIAL | SIAMO ADVISORS | SERENITY WEALTH | SENIOR TAX ADVISORY GROUP | SAWTOOTH WEALTH ADVISORS | SAGE FINANCIAL | ROSELAND RETIREMENT PLANNING | ROSELAND | RHOADS AGENCY | RETIREMENT STRATEGIES GROUP | RETIRE PRO | RELIANT WEALTH MANAGEMENT | REABURN CAPITAL | PROTECTIVE WEALTH STRATEGIES | PROTECTED TOMORROWS | PRESTIGE FINANCIAL ADVISORS | PRESTIGE FINANCIAL | PRESERVATION WEALTH CONSULTANTS | PRECISE CAPITAL | PERSONAL ECONOMICS | PEACE OF MIND FINANCE | NORTHLAND FINANCIAL | NORTH AMERICAN FINANCIAL SERVICES | MONETA WEALTH MANAGEMENT | MKH FINANCIAL SERVICES | MERIDIAN WEALTH | MALARIK FINANCIAL SERVICES | MAH FINANCIAL SERVICES | LRM RETIREMENT | LANGFORD WEALTH MANAGEMENT | LAKEVIEW FINANCIAL SOLUTIONS | LAKES FINANCIAL | KRUEGER WEALTH | KING FINANCIAL SERVICES | JUNIPER WEALTH MANAGEMENT | JCHRISTOPHER ADVISORS | INDEPENDENT TRUST WEALTH MANAGEMENT | HUX CAPITAL MANAGEMENT | HOFFMAN WEALTH MANAGEMENT | HINES WEALTH MANAGEMENT | HERMANN FINANCIAL GROUP | HELP PROTECT AND GROW | HEADSAIL FINANCIAL | HATHAWAY INVESTMENTS | H AND W FINANCIAL SERVICES | GUARDIAN WEALTH MANAGEMENT | GREENEFI WEALTH STRATEGIES | GREEN WEALTH MANAGEMENT | GRANITE ROCK WEALTH MANAGEMENT | FRONT PAGE FINANCIAL ADVISORS | FREEDOM WEALTH SERVICES | FREEDOM WEALTH | FRANKLIN HENLEY FINANCIAL | FIRSTFRUITS ASSET MANAGEMENT | FIRST INCOME ADVISORS | FIRST FRUIT ASSET MANAGEMENT | FINANCIAL SECURITY MANAGEMENT AGENCY | FDL FINANCIAL | FAMILY WEALTH AND VESTUS | EXPERITY WEALTH | EVERGREEN RETIREMENT SOLUTIONS | EPERSONAL FINANCIAL | ELITE FINANCIAL PLANNING SERVICES LLC | DREAMCAP INVESTMENTS | DREAM CAP INVESTMENTS | DIVERSIFIED RETIREMENT AND WEALTH | DIAMOND LIFE PLANNING | DAK FINANCIAL GROUP | CREATIVE RETIREMENT PLANNING | CONCEIRGE FINANCIAL | COMMONWEALTH GUARDIANS | CLEAR VISION PLANNING | CHEVALIER WEALTH AND ASSOCIATES | CATHURES WEALTH | CAPSTONE FINANCIAL ASSOCIATES | CAPITAL PLANNING LLC | BTL TAX AND FINANCIAL | BROWNSTONE FINANCIAL GROUP | BRIGHTPATH FINANCIAL | BRETT REID WEALTH | BLUEROCK FINANCIAL MANAGEMENT | BEST INTEREST WEALTH PLANNING | BERGEN FINANCIAL GROUP | BEACON ASSOCIATES | BAYOU CITY FINANCIAL ADVISORS | BANKSTON WEALTH MANAGEMENT | AUGUST H VELTEN & ASSOCIATES | APTUS WEALTH MANAGEMENT | ALWAYS HELPING WM | ABUNDANT LIVING FINANCIAL SERVICES | ABRAMS INSURANCE SOLUTIONS
CRD#: 300572 / SEC#: 801-114798
RIA
Registered Investment Advisory firm - (3/11/2019 Approved)PREMIUM
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Contact information
Main Address
475 Springfield Ave. Suite #1, Summit, NJ 07901
Mailing Address
Phone number
(844) 220-8326
Established
Firm type
Fiscal year end
# of Employees
242
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,573 |
| AUM (Assets Under Management) | $ 3,598,410,848 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
