Angel Gonzales
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.
Angel Gonzales, who also goes by Angel Gonzales Jr., was a registered financial professional .
Angel is a previously registered financial professional and started their career in finance in 2000. Angel had worked at 10 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2021 - December 16, 2021
CHARLES SCHWAB & CO., INC.
March 15, 2019 - April 11, 2019
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
August 21, 2018 - December 17, 2018
AST INVESTMENT SERVICES, INC.
August 15, 2018 - December 17, 2018
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
September 29, 2016 - July 12, 2017
VALIC FINANCIAL ADVISORS, INC.
September 29, 2016 - July 12, 2017
VALIC FINANCIAL ADVISORS, INC.
February 19, 2015 - September 13, 2016
CHARLES SCHWAB & CO., INC.
February 19, 2015 - September 13, 2016
CHARLES SCHWAB & CO., INC.
November 26, 2012 - March 7, 2013
PNC MANAGED ACCOUNT SOLUTIONS, INC.
November 21, 2012 - March 7, 2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC
September 3, 2010 - September 13, 2011
CHASE INVESTMENT SERVICES CORP.
August 5, 2010 - September 13, 2011
CHASE INVESTMENT SERVICES CORP.
July 24, 2002 - October 5, 2007
CHASE INVESTMENT SERVICES CORP.
September 20, 2001 - October 5, 2007
CHASE INVESTMENT SERVICES CORP.
March 9, 2001 - May 9, 2001
EDWARD JONES
October 11, 2000 - February 20, 2001
FIDELITY BROKERAGE SERVICES LLC
Primary Firm SEC Registration
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
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 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
CHARLES SCHWAB & CO., INC.
CRD#: 5393 / SEC#: 801-29938, 8-16514
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SCHWAB HOLDINGS, INC. | 100% OWNER | |
| BEATTY, JONATHAN SCOTT | DIRECTOR, MANAGING DIRECTOR AND HEAD OF ADVISOR SERVICES | 2429276 |
| CRAIG, JONATHAN M | PRESIDENT, DIRECTOR, MANAGING DIRECTOR AND HEAD OF INVESTOR SERVICES AND MARKETING | 4144656 |
| HATHI, NEESHA K | MANAGING DIRECTOR HEAD OF WEALTH & ADVICE SOLUTIONS | 2648997 |
| HOWARD, DENNIS WILLARD | MANAGING DIRECTOR AND CHIEF INFORMATION OFFICER | 6403083 |
| NICHOLS, CHARLES | MANAGING DIRECTOR AND BROKER DEALER & INVESTMENT ADVISOR CHIEF COMPLIANCE OFFICER | 4811434 |
| STARR, JEFFREY HAROLD | MANAGING DIRECTOR, AND OPERATIONAL SERVICES AND PRINCIPAL OPERATIONS OFFICER | 4700461 |
| VERDESCHI, MICHAEL DANIEL | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER AND PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 4570777 |
Disclosures
| Regulatory Event | 58 |
| Civil Event | 3 |
| Arbitration | 248 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/24/2025 | ||
| 01/19/2024 | ||
| 04/14/2023 |
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.
