Valentin R. 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.
Valentin Roman Gonzalez, who also goes by Val Roman, Valentin Roman, was a registered financial professional .
Valentin is a previously registered financial professional and started their career in finance in 2005. Valentin had worked at 12 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 10, 2020 - February 16, 2023
SW FINANCIAL
January 10, 2020 - June 9, 2020
PHX FINANCIAL, INC.
August 26, 2019 - February 4, 2020
SPARTAN CAPITAL SECURITIES, LLC
September 14, 2015 - August 26, 2019
WESTPARK CAPITAL, INC.
May 21, 2015 - August 6, 2015
FOUR POINTS CAPITAL PARTNERS LLC
June 17, 2013 - May 13, 2015
PHX FINANCIAL, INC.
June 29, 2012 - June 18, 2013
JOHN THOMAS FINANCIAL
September 29, 2011 - July 2, 2012
PHD CAPITAL
August 31, 2011 - October 3, 2011
BROOKVILLE CAPITAL PARTNERS
October 20, 2010 - September 8, 2011
CHARLES MORGAN SECURITIES, INC.
October 5, 2010 - November 10, 2010
HALLMARK INVESTMENTS, INC.
April 8, 2008 - September 27, 2010
VFINANCE INVESTMENTS, INC
December 21, 2005 - January 3, 2006
GUNNALLEN FINANCIAL, INC
October 10, 2005 - May 2, 2008
PHD CAPITAL
May 4, 2005 - November 1, 2005
GUNNALLEN FINANCIAL, 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
SW FINANCIAL
CRD#: 145012 / SEC#: , 8-67688
Contact information
FINRA licenses (1 States and Territories)
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 7 |
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.
