Jose R. Gonzalez

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CRD#: 1172302

Professional summary

Jose Ramon Gonzalez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Jose is a previously registered financial advisor and started their career in finance in 1983. Prior to being barred, Jose had worked at 8 firms, which includes AMERICAN TRUST INVESTMENT SERVICES INC., B. RILEY WEALTH ADVISORS INC., NATIONAL SECURITIES CORPORATION, RAYMOND JAMES & ASSOCIATES INC., WELLS FARGO CLEARING SERVICES LLC, PRINCIPAL FINANCIAL SECURITIESINC., UBS FINANCIAL SERVICES INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED.

Question & Answer

Are you a "fiduciary"?

Aliases

Jose Gonzalez

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)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

November 5, 2013 - October 14, 2016

AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001

CHICAGO, IL

Past

May 13, 2005 - October 26, 2009

B. RILEY WEALTH ADVISORS, INC.

RIA

CRD#: 115927

CHICAGO, IL

Past

December 3, 2003 - November 1, 2013

NATIONAL SECURITIES CORPORATION

CRD#: 7569

CHICAGO, IL

Past

August 30, 2001 - April 29, 2003

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

CHICAGO, IL

Past

September 28, 1998 - April 29, 2003

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

May 11, 1998 - September 15, 1998

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

June 15, 1994 - May 11, 1998

PRINCIPAL FINANCIAL SECURITIES,INC.

CRD#: 260

DALLAS, TX

Past

August 5, 1988 - June 8, 1994

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

August 24, 1983 - August 18, 1988

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/6/1996

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 8/30/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/14/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/20/1983

General Securities Representative Examination

Current Firm

AMERICAN TRUST INVESTMENT SERVICES, INC.

AMERICAN TRUST INVESTMENT SERVICES ADVISORY | PEERSON & COMPANY, INC. | PEERSON & COMPANY INVESTMENT SERVICES | AMERICAN TRUST INVESTMENT SERVICES, INC.

CRD#: 3001 / SEC#: , 8-14394

Broker-Dealer Firm Regulated by FINRA (Chicago district office)

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Contact information

Main Address

1244 119th Street, Whiting, IN 46394

Mailing Address

9040 Town Center Parkway, Lakewood Ranch, FL 34202

Phone number

(949) 524-2742

Established

Indiana since 12/23/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Direct owners and executive officers

Name	Position	CRD#
CCIG ACQUISITION COMPANY, LLC	OWNER
DEVER, JAMES FRANCIS	CEO	1840373
KESSLER, KRISTOPHER CHARLES	PRESIDENT	4543640
LIPPY, IAN EDWARD	CHIEF OPERATING OFFICER	6037326
ONESTO, RICHARD ERNEST	FINANCIAL OPERATIONS PRINCIPAL	2453096
SLAVINSKY, CHARLES JOSEPH	CCO/MSRB/ROP	2807658

Disclosures

Regulatory Event	5
Arbitration	1

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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Firm Stability Insights

Jose R. Gonzalez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

B. RILEY WEALTH ADVISORS, INC.

NATIONAL SECURITIES CORPORATION

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

WELLS FARGO CLEARING SERVICES, LLC

PRINCIPAL FINANCIAL SECURITIES,INC.

UBS FINANCIAL SERVICES INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

State Registrations and Notice Filings

Exams

Series 65

Date: 8/6/1996

Series 63

Date: 8/30/1983

SIE

Date: 10/14/2016

Series 7

Date: 8/20/1983

Current Firm

AMERICAN TRUST INVESTMENT SERVICES, INC.

Contact information

FINRA licenses (52 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

AMERICAN TRUST INVESTMENT SERVICES, INC.

TRUST BUT VERIFY

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