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LG

Luis A. Gonzalez

Some features on this profile are disabled
CRD#: 2672385
LG

Professional summary

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

Luis is a previously registered financial professional and started their career in finance in 1995. Prior to being barred, Luis had worked at 2 firms, which includes BANORTE SECURITIES INTERNATIONAL LTD., SERFIN SECURITIESINC..

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)

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

October 22, 1996 - May 21, 1999

BANORTE SECURITIES INTERNATIONAL, LTD.

BD
CRD#: 30648
HOUSTON, TX
Past

November 8, 1995 - October 14, 1996

SERFIN SECURITIES,INC.

BD
CRD#: 16683
NEW YORK, NY

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
RR
Series 63
Date: 11/27/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 11/7/1995
General Securities Representative Examination

Current Firm

BS
BANORTE SECURITIES INTERNATIONAL, LTD.
AFIN SECURITIES INTERNATIONAL, LTD. | BANORTE-IXE SECURITIES INTERNATIONAL, LTD. | BANORTE WEALTH MANAGEMENT | BANORTE SECURITIES INTERNATIONAL, LTD. | BANORTE SECURITIES INTERNATIONAL, LTD | BANORTE SECURITIES INTERNATIONAL LTD

CRD#: 30648 / SEC#: , 8-45056

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

Main Address
5075 Westheimer Suite 975w, Houston, TX 77056
Mailing Address
5075 Westheimer Suite 975w, Houston, TX 77056
Phone number
(713) 980-4600
Established
Texas since 02/21/1992
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (14 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
BANORTE SECURITIES HOLDINGS INTERNATIONAL, INC.SOLE SHAREHOLDER
BARRAZA, JUAN CARLOSCHIEF INVESTMENT OFFICER2979487
FIROZGARY, FARROKH MEHRBANCHIEF COMPLIANCE OFFICER3263239
HERNANDEZ, MARIA GENOVEVADIRECTOR OF GROWTH STRATEGY5697097
RODRIGUEZ, JOSE RAMONCHIEF EXECUTIVE OFFICER4392639

Disclosures

Regulatory Event4

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

BANORTE SECURITIES INTERNATIONAL, LTD.

CRD#: 30648

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