CG
CG

Carol Diane Garza

37 Years of Experience
Broker
Areas of Practice
Investment Management
Compensation
Fee-Only (AUM)Fixed/Hourly
Firm Size
135 advisors
Number of Clients
1,916 clients
Average Client Portfolio
$698K average
Assets Under Management
$1.3B

Fee Structure

Minimum Investment:$30K
Financial Planning:Investment management only
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Location

717 N. Harwood Street, Suite 3400, Dallas, TX, 75201

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Other Business Activities

Carol is an independent representative for Young Living (essential oils), owner of So Sassy at Heart (monogram & craft business), and a representative for Color Street Nails. She dedicates minimal time to Young Living and Color Street Nails, and about a quarter of her time to So Sassy at Heart.

Employment History
Current Registrations
Momentum Independent Network INC.Broker
April 2025 - Present · 10 mos
Momentum Independent Network INC.
February 2025 - Present · 1 yr
Hilltop Securities INC.
April 2009 - Present · 16 yrs 10 mos
Hilltop Securities INC.Broker
April 2009 - Present · 16 yrs 10 mos
Previous Registrations
Citigroup Global Markets INC.
January 2007 - April 2009 · 2 yrs 3 mos
Citigroup Global Markets INC.Broker
September 2006 - April 2009 · 2 yrs 7 mos
Morgan Stanley Dw INC.Broker
April 2004 - July 2006 · 2 yrs 3 mos
Morgan Stanley
April 1993 - July 2003 · 10 yrs 3 mos
Morgan Stanley Dw INC.Broker
April 1993 - July 2003 · 10 yrs 3 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
March 1991 - March 1993 · 2 yrs
Rauscher Pierce Refsnes, INC.Broker
August 1988 - November 1990 · 2 yrs 3 mos
Reeves and Company, Investments and Securities, INC.Broker
January 1988 - May 1988 · 4 mos
Stifel, Nicolaus & Company, IncorporatedBroker
August 1986 - September 1987 · 1 yr 1 mo
United Securities, INC.Broker
January 1984 - August 1984 · 7 mos
State Registrations52 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTXUTVAVTVirgin IslandsWAWIWVWY
AdvisorBrokerBoth
Exams
No exam information available for this advisor.