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BG

Brandon R. Gonzales

Some features on this profile are disabled
CRD#: 6681405
BG

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.

Brandon Ruben Gonzales, who also goes by Brandon Gonzales, was a registered financial professional .

Brandon is a previously registered financial professional and started their career in finance in 2016. Brandon had worked at 3 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Brandon Gonzales

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 7, 2019 - April 1, 2020

M1 FINANCE

RIA
CRD#: 249787
CHICAGO, IL
Past

October 10, 2019 - April 1, 2020

M1 FINANCE LLC

BD
CRD#: 281242
CHICAGO, IL
Past

December 23, 2016 - September 23, 2019

MORGAN STANLEY

RIA
CRD#: 149777
SANTA FE, NM
Past

October 21, 2016 - September 23, 2019

MORGAN STANLEY

BD
CRD#: 149777
SANTA FE, NM

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".
MF
M1 FINANCE
FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA
Registered Investment Advisory firm - (8/11/2015 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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/22/2016
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/2016
General Securities Representative Examination

Current Firm

MF
M1 FINANCE
FORZA ADVISORS GROUP LLC | M1 FINANCE | M1 ADVISORY SERVICES LLC

CRD#: 249787 / SEC#: 801-106511

RIA
Registered Investment Advisory firm - (8/11/2015 Approved)
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Contact information

Main Address
200 North Lasalle Street Suite 810, Chicago, IL 60601
Mailing Address
Phone number
(312) 600-2883
Established
Firm type
Fiscal year end
# of Employees
17

SEC notice filing (1 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

M1 ADVISORY SERVICES (3/11/2025)

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

M1 FINANCE

CRD#: 249787

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