Alejandro J. Gonzalez
Professional summary
Alejandro Jesus Gonzalez, who also goes by Alejandro Gonzalez, Alex J. Gonzalez, Alex Jesus Gonzalez, is a registered financial professional currently at CETERA INVESTMENT SERVICES LLC located in Orlando, Florida.
Alejandro is registered as a RR (Registered Representative) and started their career in finance in 1995. Alejandro has worked at 5 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Alejandro Jesus Gonzalez's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 27, 2016 - Present
CETERA INVESTMENT SERVICES LLC
Office #1: 111 N Orange St, Orlando, FL 32801April 18, 2013 - December 2, 2014
CETERA INVESTMENT SERVICES LLC
August 30, 2011 - March 31, 2012
MORGAN KEEGAN & COMPANY, LLC
April 8, 2010 - December 31, 2010
MORGAN KEEGAN & COMPANY, LLC
April 17, 2003 - February 16, 2010
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - August 1, 2002
WELLS FARGO CLEARING SERVICES, LLC
October 1, 2000 - August 1, 2002
WELLS FARGO CLEARING SERVICES, LLC
September 5, 1995 - October 1, 2000
FIRST UNION BROKERAGE SERVICES, INC.
April 21, 1995 - July 31, 1995
ESSEX NATIONAL 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
(10/27/2016)
(8/22/2022)
Exams
FINRA
Current Firm
CETERA INVESTMENT SERVICES LLC
CRD#: 15340 / SEC#: 801-45573, 8-31826
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| CASEY, SEAN PATRICK | VICE PRESIDENT | 2156290 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| HANAU, JENNIFER LEIGH | VICE PRESIDENT | 2898698 |
| HOLWEGER, KIMBERLEY ANN | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| KIRCHER, NICHOLE MARIE | VICE PRESIDENT | 2876887 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | MANAGER | 2799860 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| REINHOLZ, CHRISTOPHER JON | VICE PRESIDENT, DIRECTOR OF TRADING | 1961258 |
| RUMMEL, LEANN RENEE | MANAGER, PRESIDENT AND CHIEF EXECUTIVE OFFICER | 1965155 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | VICE PRESIDENT | 2272183 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WEITHAUS, GWENDOLYN | CHIEF COMPLIANCE OFFICER | 2445442 |
Disclosures
| Regulatory Event | 11 |
| Arbitration | 3 |
Red Flags
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