Roberto Gonzalez

FORESIDE FUND SERVICES

Miami, FL 33131

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CRD#: 2774384

Professional summary

Roberto Gonzalez is a registered financial professional currently at FORESIDE FUND SERVICES, LLC located in Miami, Florida.

Roberto is registered as a RR (Registered Representative) and started their career in finance in 1996. Roberto has worked at 10 firms and has passed the Series 63, SIE, Series 31, Series 7 and Series 52 exams.

Question & Answer

Are you a "fiduciary"?

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 Roberto 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®

None

Experience

Current

May 7, 2025 - Present

FORESIDE FUND SERVICES, LLC

Office #1: 848 Brickell Avenue Ph 4, Miami, FL 33131

CRD#: 46106

Miami, FL

Past

June 6, 2018 - September 13, 2024

AMUNDI DISTRIBUTOR US, INC.

CRD#: 24497

MIAMI, FL

Past

December 1, 2005 - April 10, 2017

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

MIAMI, FL

Past

December 12, 2003 - December 1, 2005

LEGG MASON WOOD WALKER, INCORPORATED

CRD#: 6555

BALTIMORE, MD

Past

August 20, 2001 - June 19, 2003

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

CRD#: 27884

SAN MATEO, CA

Past

October 1, 2000 - July 26, 2001

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

March 6, 2000 - October 1, 2000

FIRST UNION BROKERAGE SERVICES, INC.

CRD#: 8112

CHARLOTTE, NC

Past

August 20, 1999 - March 7, 2000

THE PARTNERS FINANCIAL GROUP, INC.

CRD#: 31979

MIAMI, FL

Past

February 20, 1997 - July 30, 1999

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 1, 1996 - February 14, 1997

AMERIPRISE ADVISOR SERVICES, INC.

CRD#: 5979

DETROIT, MI

State Registrations and Notice Filings

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

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

Arizona
(5/7/2025)

California
(5/7/2025)

Florida
(5/7/2025)

Texas
(5/7/2025)

Exams

State Security Law Exam

Series 63

Date: 8/30/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/1/1997

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 3/25/1997

General Securities Representative Examination

General Industry/Product Exam

Series 52

Date: 7/31/1996

Municipal Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

FORESIDE FUND SERVICES, LLC | FORUM FUND SERVICES, LLC

CRD#: 46106 / SEC#: , 8-51293

Broker-Dealer Firm Regulated by FINRA (Boston district office)

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Contact information

Main Address

190 Middle Street Suite 301, Portland, ME 04101

Mailing Address

190 Middle Street Suite 301, Portland, ME 04101

Phone number

(207) 553-7110

Established

Delaware since 09/08/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
FORESIDE DISTRIBUTORS, LLC	SOLE MEMBER
COWAN, TERESA MARIA KAZMIERSKI	PRES/MANAGER/DIRECTOR	1544189
EDELMAN, GABRIEL	SECRETARY	6654419
LA FOND, SUSAN LORENE	TREASURER	4512785
LANZA, CHRISTOPHER CONTE	VICE PRESIDENT	2184856
MACCHIA, KATE SCHENDEL	VICE PRESIDENT	4863973
SOMMERS, WESTON	CFO/FINOP	5290145
STROUT, ALICIA KIMBERLY	CHIEF COMPLIANCE OFFICER/VICE PRESIDENT	6320351

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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Roberto Gonzalez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

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

Certified licenses

Experience

AMUNDI DISTRIBUTOR US, INC.

FRANKLIN DISTRIBUTORS, LLC

LEGG MASON WOOD WALKER, INCORPORATED

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

WELLS FARGO CLEARING SERVICES, LLC

FIRST UNION BROKERAGE SERVICES, INC.

THE PARTNERS FINANCIAL GROUP, INC.

MORGAN STANLEY DW INC.

AMERIPRISE ADVISOR SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1996

SIE

Date: 10/1/2018

Series 31

Date: 8/1/1997

Series 7

Date: 3/25/1997

Series 52

Date: 7/31/1996

FINRA

Current Firm

FORESIDE FUND SERVICES, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

FORESIDE FUND SERVICES, LLC

TRUST BUT VERIFY

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