Carlos J. Gonzalez

EFG ASSET MANAGEMENT (AMERICAS)

MIAMI, FL 33131

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CRD#: 4294205

Professional summary

Carlos Javier Gonzalez, who also goes by Carlos Gonzalez, Carlos Javier Gonzalez Stawinski, Carlos Javier Gonzalez-stawinski, is a registered financial advisor currently at EFG ASSET MANAGEMENT (AMERICAS) CORP. located in Miami, Florida and EFG CAPITAL INTERNATIONAL located in Miami, Florida.

Carlos is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Carlos has worked at 12 firms and has passed the Series 66, Series 7TO, SIE, Series 31, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Carlos Gonzalez | Carlos Javier Gonzalez Stawinski | Carlos Javier Gonzalez-Stawinski

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.

1. CIMA Financial Regulation Consultants, LLC - 1655 N Commerce Pkwy #301 Weston, FL 33326. Managing Director. Start date: Feb 2019. Regulatory consulting services, investment related, provide securities regulation guidance to financial institutions. 95% of time allocated to the business. 2. CIMA Strategic Solutions LLC - President/Manager. Start date May 2022. Non-investment business consulting which is currently dormant.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Carlos Javier 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

November 21, 2023 - Present

EFG ASSET MANAGEMENT (AMERICAS) CORP.

Office #1: 701 Brickell Avenue Suite 1310, Miami, FL 33131

RIA

CRD#: 158905

MIAMI, FL

Current

December 1, 2022 - Present

EFG CAPITAL INTERNATIONAL

Office #1: 701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867

CRD#: 40118

MIAMI, FL

Current

May 31, 2023 - Present

GA PCCV BD, LLC

Office #1: 2700 Glades Circle Suite 149, Weston, FL 33327

CRD#: 319308

Weston, FL

Current

August 18, 2025 - Present

FUNDAMENTAL SECURITIES

Office #1: 1655 N. Commerce Parkway Suite 301, Weston, FL 33326

CRD#: 322182

WESTON, FL

Past

January 12, 2024 - December 31, 2024

ALTHUM ADVISORS LLC

RIA

CRD#: 315952

MIAMI, FL

Past

December 10, 2021 - July 25, 2022

EFG CAPITAL INTERNATIONAL

CRD#: 40118

MIAMI, FL

Past

December 9, 2021 - September 29, 2025

OCEAN FINANCIAL SERVICES, LLC

CRD#: 164289

MIAMI, FL

Past

January 9, 2020 - October 9, 2020

EFG ASSET MANAGEMENT (AMERICAS) CORP.

RIA

CRD#: 158905

MIAMI, FL

Past

July 3, 2019 - November 21, 2019

KOVACK INTERNATIONAL ADVISORS INC.

RIA

CRD#: 170450

FORT LAUDERDALE, FL

Past

April 24, 2019 - November 21, 2019

LATIN SECURITIES INC.

CRD#: 164117

FT. LAUDERDALE, FL

Past

February 5, 2018 - April 29, 2019

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

Miami, FL

Past

April 7, 2017 - April 29, 2019

CITI PRIVATE ALTERNATIVES, LLC

CRD#: 153777

Miami, FL

Past

September 17, 2010 - April 29, 2019

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Miami, FL

Past

February 3, 2006 - August 11, 2010

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

CRD#: 17053

SAN JUAN, PR

Past

June 8, 2001 - January 17, 2006

POPULAR SECURITIES, LLC

CRD#: 8096

SAN JUAN, PR

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

EFG ASSET MANAGEMENT (AMERICAS) CORP.

EFG ASSET MANAGEMENT (AMERICAS) CORP | EFG ASSET MANAGEMENT (US) CORP | EFG ASSET MANAGEMENT (AMERICAS) CORP.

CRD#: 158905 / SEC#: 801-72773

RIA

Registered Investment Advisory firm - (10/3/2011 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

IAR

California
(11/21/2023)

IAR

Delaware
(11/21/2023)

Florida
(12/1/2022)

IAR

Florida
(1/12/2024)

IAR

New York
(11/21/2023)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/21/2023

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 1/2/2023

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 11/29/2017

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/7/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2023

General Securities Principal Examination

SRO Registrations

FINRA

SRO Registrations

FINRA

Current Firm

EFG ASSET MANAGEMENT (AMERICAS) CORP.

EFG ASSET MANAGEMENT (AMERICAS) CORP | EFG ASSET MANAGEMENT (US) CORP | EFG ASSET MANAGEMENT (AMERICAS) CORP.

CRD#: 158905 / SEC#: 801-72773

RIA

Registered Investment Advisory firm - (10/3/2011 Approved)

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Contact information

Main Address

701 Brickell Avenue Suite 1310, Miami, FL 33131

Mailing Address

Phone number

(305) 482-8000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFGAM FORM ADV 2A OCTOBER 2025 (10/2/2025)

EFGAM WRAP FEE PROGRAM BROCHURE NOVEMBER 2024 (3/31/2025)

Regulatory assets under management

Total Number of Accounts	678
AUM (Assets Under Management)	$ 1,915,401,213

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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Firm Stability Insights

Carlos J. Gonzalez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

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

Certified licenses

Experience

EFG CAPITAL INTERNATIONAL

GA PCCV BD, LLC

FUNDAMENTAL SECURITIES

ALTHUM ADVISORS LLC

EFG CAPITAL INTERNATIONAL

OCEAN FINANCIAL SERVICES, LLC

EFG ASSET MANAGEMENT (AMERICAS) CORP.

KOVACK INTERNATIONAL ADVISORS INC.

LATIN SECURITIES INC.

CITIGROUP GLOBAL MARKETS INC.

CITI PRIVATE ALTERNATIVES, LLC

CITIGROUP GLOBAL MARKETS INC.

INSIGNEO INTERNATIONAL FINANCIAL SERVICES LLC

POPULAR SECURITIES, LLC

Primary Firm SEC Registration

EFG ASSET MANAGEMENT (AMERICAS) CORP.

State Registrations and Notice Filings

Exams

Series 66

Date: 11/21/2023

Series 7TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 31

Date: 11/29/2017

Series 7

Date: 6/7/2001

Series 24

Date: 1/2/2023

FINRA

FINRA

Current Firm

EFG ASSET MANAGEMENT (AMERICAS) CORP.

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFG ASSET MANAGEMENT (AMERICAS) CORP.

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