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RG

Richard Gonzales

DCM BROKERS
Chicago, IL 60661
Some features on this profile are disabled
CRD#: 1883964
RG

Professional summary

Richard Gonzales is a registered financial professional currently at DCM BROKERS, LLC located in Chicago, Illinois.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 6 firms and has passed the Series 63, Series 7TO, SIE, Series 22, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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) - BD

Click below to view Richard Gonzales's 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®
None

Experience

Current

October 17, 2007 - Present

DCM BROKERS, LLC

Office #1: 566 W. Adams, Suite 300, Chicago, IL 60661
BD
CRD#: 144158
Chicago, IL
Past

March 11, 2002 - July 22, 2002

MCKIM CAPITAL, INC.

BD
CRD#: 103814
NEW YORK, NY
Past

October 1, 2000 - May 10, 2001

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

February 17, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

BD
CRD#: 8112
CHARLOTTE, NC
Past

September 23, 1999 - January 21, 2000

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
MILWAUKEE, WI
Past

April 24, 1998 - March 31, 1999

COMMERZ FUTURES, L.L.C.

BD
CRD#: 38085
CHICAGO, IL

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
South Carolina
(1/7/2008)

Exams

State Security Law Exam
RR
Series 63
Date: 7/20/2007
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 5/21/2019
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 22
Date: 6/27/2007
Direct Participation Programs Representative Examination
General Industry/Product Exam
RR
Series 31
Date: 1/4/2002
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 4/23/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

DB
DCM BROKERS, LLC
DCM BROKERS, LLC

CRD#: 144158 / SEC#: , 8-67640

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

Main Address
566 W. Adams, Suite 300, Chicago, IL 60661
Mailing Address
555 W. Jackson Suite 600, Chicago, IL 60661
Phone number
(312) 756-4450
Established
Illinois since 01/08/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (6 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
DEARBORN CAPITAL MANAGEMENT, LLCSOLE MEMBER
KAVANAGH, DAVID MICHAELPRESIDENT715753
OROURKE, MAUREEN ANNECFO AND FINOP2219725
PERKAUS, LAUREN KAVANAGHCCO, AMLCO

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.

Company Information

DCM BROKERS, LLC

CRD#: 144158Chicago, IL 60661

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