Lazaro 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.
Lazaro Gonzalez, who also goes by Lazaro Gonzales, Larue Gonzalez, was a registered financial professional .
Lazaro is a previously registered financial professional and started their career in finance in 2000. Lazaro had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 57, Series 55, 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
June 23, 2020 - August 6, 2020
CUMBERLAND ADVISORS
March 1, 2017 - December 4, 2017
GREAT POINT CAPITAL LLC
July 16, 2010 - November 7, 2012
GREAT POINT CAPITAL LLC
November 8, 2006 - July 26, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
May 5, 2004 - December 31, 2004
LEGEND SECURITIES, INC.
October 19, 2001 - March 28, 2002
KERSHNER TRADING GROUP, LLC
April 17, 2001 - September 27, 2001
PROTRADER SECURITIES L.P.
May 16, 2000 - February 23, 2001
JANUS HENDERSON DISTRIBUTORS US LLC
Primary Firm SEC Registration
CUMBERLAND ADVISORS
CRD#: 107964 / SEC#: 801-55344
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
Series 55
Date: 5/4/2001
Limited Representative-Equity Trader ExamCurrent Firm
CUMBERLAND ADVISORS
CRD#: 107964 / SEC#: 801-55344
Contact information
SEC notice filing (47 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,550 |
| AUM (Assets Under Management) | $ 3,348,228,828 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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