Rick 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.
Rick Gonzales, who also goes by Ricardo Marcos Gonzales, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 2013. Rick had worked at 3 firms and has passed the 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
August 18, 2021 - December 31, 2023
HUDSON HOUSING CAPITAL LLC
October 3, 2014 - December 31, 2023
HUDSON HOUSING SECURITIES LLC
May 29, 2013 - July 1, 2014
PNC CAPITAL MARKETS LLC
Primary Firm SEC Registration
HUDSON HOUSING CAPITAL LLC
CRD#: 161240 / SEC#: 801-74733
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
HUDSON HOUSING CAPITAL LLC
CRD#: 161240 / SEC#: 801-74733
Contact information
SEC notice filing (2 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 96 |
| AUM (Assets Under Management) | $ 6,138,665,249 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/10/2025 | ||
| 09/26/2024 | ||
| 04/22/2024 | ||
| 01/04/2024 | ||
| 09/27/2022 |
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.
