Jose M. Garza

STRATEGY FINANCIAL GROUP

Phoenix, AZ 85054

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CRD#: 4382352

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 STRATEGY FINANCIAL GROUP located in Phoenix, Arizona.

Jose is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2004. Jose has worked at 14 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

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.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose M Garza's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Experience

Current

May 27, 2025 - Present

STRATEGY FINANCIAL GROUP

Office #1: 7010 E Chauncey Lane #130, Phoenix, AZ 85054

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.

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

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.

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.

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.

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

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.

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.

CRD#: 7870

ST. LOUIS, MO

Past

October 22, 2004 - May 9, 2005

U.S. BANCORP INVESTMENTS, INC.

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".

STRATEGY FINANCIAL GROUP

STRATEGY FINANCIAL GROUP | STRATEGY FINANCIAL SERVICES, LLC | STRATEGY FINANCIAL SERVICES

CRD#: 164531 / SEC#: 801-122298

RIA

Registered Investment Advisory firm - (8/13/2021 Approved)

Arizona

Registered Investment Advisory firm - (9/30/2021 Terminated)

California

Registered Investment Advisory firm - (10/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (9/30/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/17/2015 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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
(5/27/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/20/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 12/15/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/19/2004

General Securities Representative Examination

Current Firm

STRATEGY FINANCIAL GROUP

STRATEGY FINANCIAL GROUP | STRATEGY FINANCIAL SERVICES, LLC | STRATEGY FINANCIAL SERVICES

CRD#: 164531 / SEC#: 801-122298

RIA

Registered Investment Advisory firm - (8/13/2021 Approved)

Arizona

Registered Investment Advisory firm - (9/30/2021 Terminated)

California

Registered Investment Advisory firm - (10/30/2021 Terminated)

Michigan

Registered Investment Advisory firm - (10/1/2021 Terminated)

New Mexico

Registered Investment Advisory firm - (9/30/2021 Terminated)

Texas

Registered Investment Advisory firm - (12/17/2015 Terminated)

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Contact information

Main Address

7010 E Chauncey Lane #130, Phoenix, AZ 85054

Mailing Address

Phone number

(602) 343-9301

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

STRATEGY FINANCIAL GROUP ADV 2A AUG 2025 (8/18/2025)

Regulatory assets under management

Total Number of Accounts	1,692
AUM (Assets Under Management)	$ 279,866,584

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.

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Advisor Monitoring

Firm Stability Insights

Jose M. Garza

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Jose M Garza's CRS (Customer Relationship Summary).

Certified licenses

Experience

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

SCHWAB WEALTH ADVISORY, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

PNC MANAGED ACCOUNT SOLUTIONS, INC.

BBVA SECURITIES INC.

MERCER GLOBAL ADVISORS INC.

USAA FINANCIAL PLANNING SERVICES

USAA FINANCIAL ADVISORS, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

OSAIC FA, INC.

OSAIC FA, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

U.S. BANCORP INVESTMENTS, INC.

Primary Firm SEC Registration

STRATEGY FINANCIAL GROUP

State Registrations and Notice Filings

Exams

Series 66

Date: 7/20/2005

Series 63

Date: 12/15/2004

SIE

Date: 10/1/2018

Series 7

Date: 10/19/2004

Current Firm

STRATEGY FINANCIAL GROUP

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

STRATEGY FINANCIAL GROUP

TRUST BUT VERIFY

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