Isaac 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.
Isaac Gonzalez Jr, who also goes by Isaac Gonzalez Jr, Isaac Gonzalez, Isaac Gonzalez Jr, was a registered financial professional .
Isaac is a previously registered financial professional and started their career in finance in 2010. Isaac had worked at 10 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 11, 2025 - October 28, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
September 5, 2025 - October 28, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
August 6, 2025 - October 28, 2025
RAYMOND JAMES & ASSOCIATES, INC.
August 5, 2025 - October 28, 2025
RAYMOND JAMES & ASSOCIATES, INC.
August 2, 2024 - June 3, 2025
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
July 31, 2024 - June 3, 2025
RAYMOND JAMES FINANCIAL SERVICES, INC.
November 5, 2021 - February 20, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
September 20, 2021 - February 16, 2024
FIDELITY BROKERAGE SERVICES LLC
May 6, 2019 - March 30, 2021
J.P. MORGAN SECURITIES LLC
May 3, 2019 - March 30, 2021
J.P. MORGAN SECURITIES LLC
November 11, 2016 - April 23, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
November 1, 2016 - April 23, 2018
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 4, 2013 - November 5, 2014
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
December 1, 2011 - November 5, 2014
NYLIFE DISTRIBUTORS LLC
August 9, 2010 - June 22, 2011
VANGUARD MARKETING CORPORATION
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
Series 6TO
Date: 8/2/2024
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
RAYMOND JAMES FINANCIAL SERVICES, INC.
CRD#: 6694 / SEC#: , 8-17983
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RAYMOND JAMES FINANCIAL, INC. | OWNER | |
| BARKO, SHAWN JOSEPH | CHIEF COMPLIANCE OFFICER | 2690394 |
| CURTIS, SCOTT | DIRECTOR | 1707935 |
| ELWYN, TASHTEGO SPRING | DIRECTOR | 2319098 |
| GEIS, WILLIAM CHRISTIAN | DIRECTOR | 2171250 |
| GRIGAS CALIGIURI, KARA | PRINCIPAL FINANCIAL OFFICER, FINOP | 2146027 |
| KRUCHTEN, STEPHEN EDWARD | DIRECTOR | 1645287 |
| REID, SHANNON BELVEAL | PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR | 4815189 |
| RUST, KEITH G | PRINCIPAL OPERATIONS OFFICER | 5915636 |
| SANTELLI, JONATHAN | GENERAL COUNSEL | 6306997 |
Disclosures
| Regulatory Event | 128 |
| Arbitration | 76 |
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.
