Gonzalo Figueroa
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.
Gonzalo Figueroa, CFP®, who also goes by Gonzalo A Figueroa, Gonzalo Alfonso Figueroa-ortega, was a registered financial professional .
Gonzalo is a previously registered financial professional and started their career in finance in 2019. Gonzalo had worked at 4 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2021
Experience
July 15, 2025 - May 6, 2026
Q3 ADVISORS, LLC
August 16, 2023 - April 2, 2025
OSAIC WEALTH, INC.
August 16, 2023 - April 2, 2025
OSAIC WEALTH, INC.
January 27, 2022 - August 23, 2023
GATEWAY ADVISORY, LLC
February 15, 2019 - December 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2019 - December 16, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
Q3 ADVISORS, LLC
CRD#: 284220 / SEC#: 801-129519
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
Series 7TO
Date: 7/20/2022
General Securities Representative ExaminationCurrent Firm
Q3 ADVISORS, LLC
CRD#: 284220 / SEC#: 801-129519
Contact information
SEC notice filing (23 States and Territories)
Documents
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.
