Miguel E. Gonzalez

Some features on this profile are disabled

CRD#: 5983763

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.

Miguel Eduardo Gonzalez, who also goes by Miguel E Gonzalez, was a registered financial professional .

Miguel is a previously registered financial professional and started their career in finance in 2013. Miguel had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Miguel E Gonzalez

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

November 8, 2021 - September 16, 2024

AMERANT INVESTMENTS, INC.

RIA

CRD#: 117284

CORAL GABLES, FL

Past

November 2, 2021 - September 16, 2024

AMERANT INVESTMENTS, INC.

CRD#: 117284

CORAL GABLES, FL

Past

February 26, 2020 - November 18, 2021

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MIAMI, FL

Past

February 25, 2020 - November 18, 2021

UBS FINANCIAL SERVICES INC.

CRD#: 8174

MIAMI, FL

Past

August 1, 2019 - December 19, 2019

ADVISORY INVESTOR SERVICES LLC

RIA

CRD#: 173134

WESTON, FL

Past

January 17, 2014 - May 17, 2019

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

MIAMI, FL

Past

October 14, 2013 - May 17, 2019

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

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".

AMERANT INVESTMENTS, INC.

CRD#: 117284 / SEC#: 801-61889, 8-53612

RIA

Registered Investment Advisory firm - SEC (8/9/2002 Approved)

Florida

Registered Investment Advisory firm - SEC (8/19/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (8/9/2002 Terminated)

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

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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: 1/14/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/14/2013

General Securities Representative Examination

Current Firm

AMERANT INVESTMENTS, INC.

CRD#: 117284 / SEC#: 801-61889, 8-53612

RIA

Registered Investment Advisory firm - SEC (8/9/2002 Approved)

Florida

Registered Investment Advisory firm - SEC (8/19/2002 Terminated)

New York

Registered Investment Advisory firm - SEC (8/9/2002 Terminated)

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

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134

Mailing Address

220 Alhambra Circle 2nd Floor, Coral Gables, FL 33134

Phone number

(305) 460-8599

Established

Delaware since 07/24/2001

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (8 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A 6-25 (6/24/2025)

WRAP BROCHURE 9-24 (3/20/2025)

Direct owners and executive officers

Name	Position	CRD#
AMERANT BANK, N.A.	SHAREHOLDER
CALDERON YEPEZ, SHARYMAR EGLLEE	DIRECTOR	7809045
CAPRILES, ALBERTO MANUEL	DIRECTOR	6998024
GARGANTA, ANDRES JOSE	DIRECTOR	5483075
GUERRERO, SERGIO EMILIANO MR.	COO & FINOP	5718350
IAFIGLIOLA, CARLOS	DIRECTOR	7285620
LUCAS, EMERIS DEL VALLE	BRANCH MANAGER	5193416
RESTREPO, JOSE VICENTE	CCO	6148942

Regulatory assets under management

Total Number of Accounts	1,194
AUM (Assets Under Management)	$ 688,203,169

Disclosures

Regulatory Event

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Miguel E. Gonzalez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERANT INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

ADVISORY INVESTOR SERVICES LLC

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

Primary Firm SEC Registration

AMERANT INVESTMENTS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/14/2014

SIE

Date: 10/1/2018

Series 7

Date: 10/14/2013

Current Firm

AMERANT INVESTMENTS, INC.

Contact information

SEC notice filing (8 States and Territories)

FINRA licenses (14 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

AMERANT INVESTMENTS, INC.

TRUST BUT VERIFY

Similar Advisors