Michael D. 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.
Michael David Gonzales, who also goes by Michael D. Gonzales, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 2006. Michael had worked at 4 firms and has passed the Series 65, 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
September 8, 2021 - February 16, 2022
GLOBAL ASSETS ADVISORY, LLC
June 23, 2021 - February 16, 2022
INTERNATIONAL ASSETS ADVISORY, LLC
October 1, 2008 - October 22, 2019
J.P. MORGAN SECURITIES LLC
December 6, 2006 - October 1, 2008
J.P. MORGAN SECURITIES INC.
Primary Firm SEC Registration
GLOBAL ASSETS ADVISORY, LLC
CRD#: 300460 / SEC#: 801-114946
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
GLOBAL ASSETS ADVISORY, LLC
CRD#: 300460 / SEC#: 801-114946
Contact information
SEC notice filing (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,213 |
| AUM (Assets Under Management) | $ 338,145,734 |
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.
