Ricardo D. Gonzalez

MISSION WEALTH MANAGEMENT, LP

LOS ANGELES, CA 90067-2918

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CRD#: 2043882

Professional summary

Ricardo David Gonzalez, CFP®, CIMA®, who also goes by Rick Gonzalez, is a registered financial advisor currently at MISSION WEALTH MANAGEMENT, LP located in Los Angeles, California.

Ricardo is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Ricardo has worked at 7 firms and has passed the Series 65, Series 63, Series 7, Series 8, Series 24 and Series 27 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick 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) - RIA

Click below to view Ricardo David Gonzalez's CRS (Customer Relationship Summary).

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®

CFP^®

Certified Financial Planner

Start date: 2017

CIMA^®

Certified Investment Management Analyst

Experience

Current

May 15, 2014 - Present

MISSION WEALTH MANAGEMENT, LP

Office #1: 2029 Century Park East Suite 950, Los Angeles, CA 90067-2918

RIA

CRD#: 113057

LOS ANGELES, CA

Past

March 19, 2013 - December 18, 2013

SIGNATOR INVESTORS, INC.

CRD#: 468

LOS ANGELES, CA

Past

January 22, 2013 - December 16, 2013

SEIA

RIA

CRD#: 108163

LOS ANGELES, CA

Past

December 24, 2008 - January 22, 2013

THE GLOWACKI GROUP, LLC

RIA

CRD#: 112143

LOS ANGELES, CA

Past

March 20, 2006 - January 4, 2008

GCC-PROSPECT CORPORATION

CRD#: 124728

FAIRFAX, VA

Past

April 4, 1995 - July 6, 2005

CHARLES SCHWAB & CO., INC.

CRD#: 5393

WESTLAKE, TX

Past

March 20, 1990 - March 16, 1995

D.E. FREY & COMPANY, INC.

CRD#: 23595

DENVER, CO

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

California
(5/15/2014)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/2/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/15/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/18/2013

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 12/16/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 10/11/1993

General Securities Principal Examination

Principal/Supervisory Exam

Series 27

Date: 5/4/1992

Financial and Operations Principal Examination

Current Firm

MISSION WEALTH MANAGEMENT, LP

MISSION WEALTH | MISSION WEALTH MANAGEMENT, LP | MISSION WEALTH MANAGEMENT, LLC

CRD#: 113057 / SEC#: 801-61230

RIA

Registered Investment Advisory firm - (6/7/2002 Approved)

California

Registered Investment Advisory firm - (6/14/2002 Terminated)

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Contact information

Main Address

1111 Chapala Street 3rd Floor, Santa Barbara, CA 93101

Mailing Address

Phone number

(805) 882-2360

Established

Firm type

Fiscal year end

# of Employees

145

SEC notice filing (41 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MWM FORM ADV PART 2A - FIRM BROCHURE (5/20/2025)

Regulatory assets under management

Total Number of Accounts	12,456
AUM (Assets Under Management)	$ 10,024,060,630

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

Ricardo D. Gonzalez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ricardo David Gonzalez's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATOR INVESTORS, INC.

SEIA

THE GLOWACKI GROUP, LLC

GCC-PROSPECT CORPORATION

CHARLES SCHWAB & CO., INC.

D.E. FREY & COMPANY, INC.

Primary Firm SEC Registration

MISSION WEALTH MANAGEMENT, LP

State Registrations and Notice Filings

Exams

Series 65

Date: 5/2/2011

Series 63

Date: 4/15/1991

Series 7

Date: 3/18/2013

Series 8

Date: 12/16/1997

Series 24

Date: 10/11/1993

Series 27

Date: 5/4/1992

Current Firm

MISSION WEALTH MANAGEMENT, LP

Contact information

SEC notice filing (41 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

MISSION WEALTH MANAGEMENT, LP

TRUST BUT VERIFY

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