Oscar 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.
Oscar Gonzalez, who also goes by Oscar Gonzales, was a registered financial professional .
Oscar is a previously registered financial professional and started their career in finance in 2006. Oscar had worked at 4 firms and has passed the Series 66, SIE, Series 31 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
October 23, 2015 - February 9, 2017
PENSERRA SECURITIES, LLC
February 22, 2012 - October 1, 2013
HASTINGS CAPITAL GROUP, LLC
August 2, 2007 - February 17, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
May 22, 2006 - November 14, 2006
MORGAN STANLEY DW INC.
April 19, 2006 - November 14, 2006
MORGAN STANLEY DW 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
PENSERRA SECURITIES, LLC
CRD#: 145994 / SEC#: , 8-67773
Contact information
FINRA licenses (17 States and Territories)
Documents
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.
