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PG

Philippe R. Gonzales

ALLARIA SECURITIES
Miami, FL 33131
Some features on this profile are disabled
CRD#: 5667179
PG

Professional summary

Philippe Roger Gonzales, who also goes by Philippe R Gonzales, Philippe Gonzales, is a registered financial professional currently at ALLARIA SECURITIES, LLC located in Miami, Florida.

Philippe is registered as a RR (Registered Representative) and started their career in finance in 2009. Philippe has worked at 6 firms and has passed the Series 99TO, Series 52TO, SIE, Series 7, Series 10, Series 14, Series 9, Series 28, Series 27, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Philippe R Gonzales | Philippe Gonzales

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Philippe Roger Gonzales'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

December 6, 2024 - Present

ALLARIA SECURITIES, LLC

Office #1: 1110 Brickell Avenue Suite 603, Miami, FL 33131
BD
CRD#: 286504
Miami, FL
Past

June 14, 2022 - December 5, 2024

CIBEST CAPITAL SECURITIES, LLC

BD
CRD#: 316232
Miami, FL
Past

September 15, 2014 - March 1, 2022

HOLISTIC BROKERAGE, LLC

BD
CRD#: 46001
Miami, FL
Past

March 22, 2013 - September 26, 2014

MORGAN STANLEY

BD
CRD#: 149777
CORAL GABLE, FL
Past

November 2, 2010 - January 25, 2013

INTERBOLSA SECURITIES, LLC

BD
CRD#: 150715
MIAMI, FL
Past

June 5, 2009 - October 29, 2010

BULLTICK SECURITIES, LLC

BD
CRD#: 132092
MIAMI, FL

State Registrations and Notice Filings

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

RR
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

RR
Florida
(12/6/2024)

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/4/2009
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 1/2/2023
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 14
Date: 1/2/2023
Compliance Officer Examination
Principal/Supervisory Exam
RR
Series 9
Date: 1/2/2023
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 28
Date: 1/2/2023
Introducing Broker/Dealer Financial Operations Principal Examination
Principal/Supervisory Exam
RR
Series 27
Date: 1/25/2019
Financial and Operations Principal Examination
Principal/Supervisory Exam
RR
Series 53
Date: 12/10/2012
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/12/2012
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 11/14/2011
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ALLARIA SECURITIES, LLC
ALLARIA SECURITIES, LLC

CRD#: 286504 / SEC#: , 8-69891

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
1110 Brickell Avenue Suite 603, Miami, FL 33131
Mailing Address
1110 Brickell Avenue Suite 603, Miami, FL 33131
Phone number
(786) 686-5400
Established
Florida since 11/10/2016
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (9 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
ALLARIA LATAM INVESTMENT SERVICES, INCMEMBER
CATOGGIO, STELLA MCHIEF EXECUTIVE OFFICER2987511
GONZALES, PHILIPPE ROGERCHIEF COMPLIANCE OFFICER5667179
RODRIGUEZ, AARON NETZAHUALCOYOTLFINOP5421965
ROWE, KEVIN ANTHONYDIRECTOR OF REGULATORY AFFAIRS4641264

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.

Company Information

ALLARIA SECURITIES, LLC

CRD#: 286504Miami, FL 33131

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