Nicole Garfias is a registered investment advisor, based in Santa Barbara, CA, with 6 years of industry experience.
Location
21 E Carillo Street, Suite 100, Santa Barbara, CA, 93101
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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.
Learn about disclosures →Employment History
Current Registrations
Sanctuary Advisors, LLC
October 2023 - Present · 2 yrs 7 mos
Sanctuary Securities, INC.Broker
October 2023 - Present · 2 yrs 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
June 2021 - September 2023 · 2 yrs 3 mos
Wells Fargo Clearing Services, LLCBroker
July 2020 - September 2023 · 3 yrs 2 mos
UBS Financial Services INC.Broker
December 2019 - July 2020 · 7 mos
State Registrations23 states
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AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.