Anthony Gonzales
Professional summary
Anthony Gonzales is a registered financial professional currently at SIGMA FINANCIAL CORPORATION located in El Paso, Texas.
Anthony is registered as a RR (Registered Representative) and started their career in finance in 1992. Anthony has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Anthony Gonzales's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 18, 2016 - Present
SIGMA FINANCIAL CORPORATION
Office #1: 1210 Montana Suite 100 And Suite 200, El Paso, TX 79902August 22, 2007 - August 30, 2016
INVESTORS CAPITAL CORP.
April 11, 2003 - August 22, 2007
EDI FINANCIAL, INC.
January 1, 1998 - April 3, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 1, 1998 - April 3, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 20, 1994 - January 1, 1998
NATIONSSECURITIES
June 22, 1993 - September 2, 1994
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 1992 - April 21, 1993
PRUCO SECURITIES, 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
(8/18/2016)
(8/23/2016)
Exams
FINRA
Nasdaq Stock Market
Current Firm
SIGMA FINANCIAL CORPORATION
CRD#: 14303 / SEC#: , 8-30466
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | TRUST (OWNER OF ALL VOTING SHARES) | |
| MCCLELLAN, JOHN ALEXANDER | CHIEF RISK AND BUSINESS OFFICER | 4016479 |
| PHILLIPS, RICHARD THOMAS | CHIEF COMPLIANCE OFFICER | 6041363 |
| PISTOR, RANDOLPH FULVIO | CHIEF LEGAL OFFICER | 5143334 |
| RYDELL, BRANDON DAVID | PRESIDENT | 2933397 |
| RYDELL, JEROME STANLEY | CEO, CHAIRMAN AND TRUSTEE OF THE JEROME S. RYDELL REVOCABLE LIVING TRUST DATED 12/21/1998, AS AMENDED AND RESTATED ON 10/23/2020 | 408389 |
| WOOTON, RYAN DANIEL | CHIEF FINANCIAL OFFICER | 8006797 |
Disclosures
| Regulatory Event | 15 |
| Arbitration | 11 |
Red Flags
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Company Information
SIGMA FINANCIAL CORPORATION
CRD#: 14303El Paso, TX 79902TRUST BUT VERIFY
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