Jose R. Gonzalez Lugo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Jose Ramon Gonzalez Lugo, who also goes by Jose Ramon Gonzalez, Jose Ramon Gonzalez Lugo, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1983. Jose had worked at 5 firms and has passed the Series 65, Series 3, Series 7, Series 4, Series 53, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 5, 2013 - August 8, 2013
OFS SECURITIES, INC.
March 22, 2011 - October 31, 2013
ORIENTAL FINANCIAL SERVICES LLC
November 16, 2009 - August 5, 2010
SANTANDER SECURITIES LLC
December 3, 1996 - October 7, 2009
SANTANDER SECURITIES LLC
June 8, 1989 - March 29, 1995
POPULAR SECURITIES, LLC
June 5, 1989 - March 29, 1995
CREDIT SUISSE SECURITIES (USA) LLC
June 22, 1983 - February 18, 1986
CREDIT SUISSE SECURITIES (USA) LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 7/19/1989
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
OFS SECURITIES, INC.
CRD#: 39615 / SEC#: , 8-48753
Contact information
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
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.
