Daniel G. Gonzalo

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CRD#: 5906545

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.

Daniel Gilberto Gonzalo, who also goes by Daniel Gonzalo, Daniel Gilberto Gonzalo Ortega, was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2011. Daniel had worked at 3 firms and has passed the Series 66, SIE, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Gonzalo | Daniel Gilberto Gonzalo Ortega

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 2, 2025 - September 9, 2025

SAAGA

RIA

CRD#: 327015

MIAMI, FL

Past

July 9, 2014 - July 11, 2023

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

Coral Gables, FL

Past

June 17, 2014 - July 11, 2023

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Coral Gables, FL

Past

May 12, 2011 - June 12, 2014

SANTANDER SECURITIES LLC

CRD#: 41791

MIAMI, FL

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SAAGA

SAAGA | SAAGA, LLC

CRD#: 327015 / SEC#: 801-128286

RIA

Registered Investment Advisory firm - (7/21/2023 Approved)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/8/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/3/2018

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 5/10/2011

General Securities Representative Examination

Current Firm

SAAGA

SAAGA | SAAGA, LLC

CRD#: 327015 / SEC#: 801-128286

RIA

Registered Investment Advisory firm - (7/21/2023 Approved)

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Contact information

Main Address

1221 Brickell Avenue Suite 2410, Miami, FL 33131

Mailing Address

Phone number

(786) 362-6819

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SAAGA LLC ADV PART 2A BROCHURE JUNE 1 2023 (10/8/2025)

Regulatory assets under management

Total Number of Accounts	516
AUM (Assets Under Management)	$ 603,470,494

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Firm Stability Insights

Daniel G. Gonzalo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

SANTANDER SECURITIES LLC

Primary Firm SEC Registration

SAAGA

State Registrations and Notice Filings

Exams

Series 66

Date: 7/8/2014

SIE

Date: 10/1/2018

Series 3

Date: 8/3/2018

Series 7

Date: 5/10/2011

Current Firm

SAAGA

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SAAGA

TRUST BUT VERIFY

Contact information

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