Luis G. Gonzalez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Luis Gabriel Gonzalez, who also goes by Luis G Gonzalez, Luis G. Gonzalez Rodriguez, Luis Gabriel Gonzalez Rodriguez, Luis G Gonzalezrodriguez, was a registered financial professional .
Luis is a previously registered financial professional and started their career in finance in 1996. Luis had worked at 4 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2003 - March 27, 2019
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
September 4, 2003 - March 27, 2019
UBS FINANCIAL SERVICES INC.
January 1, 1999 - August 14, 2003
ORIENTAL FINANCIAL SERVICES LLC
September 9, 1996 - December 31, 1998
PFS INVESTMENTS INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
UBS FINANCIAL SERVICES INCORPORATED OF PUERTO RICO
CRD#: 13042 / SEC#: , 8-28475
Contact information
Documents
Disclosures
| Regulatory Event | 8 |
| Arbitration | 43 |
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.
