AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why Advisor Check

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
JG

Janet R. Gonzales

Some features on this profile are disabled
CRD#: 6243522
JG

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.

Janet Rogers Gonzales, who also goes by Janet R Gonzales, Janet Rogers Jensen, Janet Griselle Rogers, was a registered financial professional .

Janet is a previously registered financial professional and started their career in finance in 2013. Janet had worked at 6 firms and has passed the Series 66, Series 63, Series 99TO, SIE, Series 7, Series 4, Series 9 and Series 10 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Janet R Gonzales | Janet Rogers Jensen | Janet Griselle Rogers

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.
(1) University of Texas at Arlington/Instructional Connections - Non-Investment Related/ 701 S. Nedderman Dr., Arlington , TX, US/Academic Coach for online history classes/ I'm an academic coach, I work with a professor at University of Texas at Arlington to hold zoom classes with students in an online class, grade papers, answer lecture questions, etc./started 12/2012. 5 hours per month. (2) Magnolia Grants LLC (DBA Yappe Co.)/ investment related?: yes/ 3556 S 5600 W Suite 1-1072, West Valley City, UT, 84120,US/ Digital Design - Web Design, UX/UI design, branding./Proprietor / owner/ aI will be doing digital design (UX, Web Design, etc.) for small companies. There has also been a grant proposal writing component of this business in the past./ start date was 01/01/2019./ time reqd during working hours?; no (3) Start Studio - non-investment related/ Role: UX and UI Designer (designing visual interfaces and web architecture for mobile and computer)/Start Date was 10/13/21

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

May 11, 2021 - May 17, 2022

UBS FINANCIAL SERVICES INC.

RIA
CRD#: 8174
SALT LAKE CITY, UT
Past

May 11, 2021 - May 17, 2022

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
SALT LAKE CITY, UT
Past

September 30, 2019 - May 4, 2021

CREWE ADVISORS

RIA
CRD#: 173920
SALT LAKE CITY, UT
Past

May 8, 2017 - September 9, 2019

GOLDMAN SACHS & CO. LLC

BD
CRD#: 361
SALT LAKE CITY, UT
Past

May 23, 2016 - February 6, 2017

MORGAN STANLEY

RIA
CRD#: 149777
SOUTH JORDAN, UT
Past

May 23, 2016 - February 6, 2017

MORGAN STANLEY

BD
CRD#: 149777
SOUTH JORDAN, UT
Past

September 3, 2014 - May 25, 2016

STRATEGIC ADVISERS LLC

RIA
CRD#: 104555
SALT LAKE CITY, UT
Past

November 11, 2013 - May 19, 2016

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SALT LAKE CITY, UT

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".
UBS FINANCIAL SERVICES INC.
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/29/2014
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/18/2013
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 11/8/2013
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 6/2/2017
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 9
Date: 2/19/2015
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 2/7/2015
General Securities Sales Supervisor - General Module Examination

Current Firm

UBS FINANCIAL SERVICES INC.
UBS FINANCIAL SERVICES INC.
PAINE, WEBBER, JACKSON & CURTIS INC. | WEALTH MANAGEMENT USA | UBS PAINEWEBBER INC. | UBS FINANCIAL SERVICES INC. | PAINEWEBBER INCORPORATED | PAINEWEBBER INC.

CRD#: 8174 / SEC#: 801-7163, 8-16267

RIA
Registered Investment Advisory firm - SEC (1/22/1971 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge 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
1200 Harbor Boulevard, Weehawken, NJ 07086
Mailing Address
315 Deaderick Street 3rd Fl, Compliance Department, Nashville, TN 37238
Phone number
(201) 352-3000
Established
Delaware since 06/30/1969
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
12,629

SEC notice filing (50 States and Territories)

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

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

UBS FINANCIAL SERVICES WRAP FEE PROGRAMS DISCLOSURE BROCHURE (11/13/2025)
FINANCIAL PLANNING SERVICES DISCLOSURE BROCHURE (3/31/2025)
RETIREMENT PLAN CONSULTING SERVICES PROGRAM (3/31/2025)

Direct owners and executive officers

NamePositionCRD#
UBS AMERICAS INC.OWNER
CAMACHO, MICHAEL ALANPRESIDENT2907298
FRANCOMANO, LISA M.CHIEF COMPLIANCE OFFICER FOR THE ADVISORY BUSINESS2263875
MATTONE, RALPHPRINCIPAL FINANCIAL OFFICER1840894
MOZER, PETERMANAGING DIRECTOR2523858
MUNFA, LAURENCHIEF COMPLIANCE OFFICER4431011
SAKAI, KIYEGENERAL COUNSEL7451987
SOMMA, JOSEPHPRINCIPAL OPERATIONS OFFICER2219496

Regulatory assets under management

Total Number of Accounts1,134,923
AUM (Assets Under Management)$ 808,822,670,899

Disclosures

Regulatory Event475
Civil Event5
Arbitration443

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
06/26/2025
Cover Page
Report
05/15/2024
Cover Page
Report
12/19/2023
Cover Page
Report

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

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CRD#: 8174

TRUST BUT VERIFY

Monitor Janet Gonzales

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
Shad Roundy
Shad RoundyAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
TRACY, CA
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.
© 2025 AdvisorCheck, an AIMR Analytics company.
All rights reserved.
Powered ByAIRM Analytics