RG
Rogelio Gonzalez
LPL ENTERPRISE
PORT ORCHARD, WA 98366
Some features on this profile are disabled
CRD#: 7213598
RG
Professional summary
Rogelio Gonzalez, who also goes by Roger Gonzalez, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Port Orchard, Washington.
Rogelio is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Rogelio has worked at 7 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger 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.
Name of other Business: The Magic Podcast of Fire and Ice Investment related (yes or no): No Business address: SE Calaveras Nature of business: Entertainment/Podcast/Merchandise. Position/title: Content Creator Relationship with business: Co-owner Start date of relationship: Aug 2021 Number of hours a month devoted to business: 24 Hours a month Number of hours during securities trading hours devoted to business: 0 Description of duties: Creating Content that surrounds the Magic: The Gathering card game. Also overlooks the merchandise store for the business.
CRS (Client Relationship Summary) - RIA
Click below to view Rogelio Gonzalez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rogelio Gonzalez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1700 Mile Hill Dr Suite 264, Port Orchard, WA 98366Office #2: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
PORT ORCHARD, WA
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1700 Mile Hill Dr Suite 264, Port Orchard, WA 98366Office #2: 1055 Lpl Way, Fort Mill, SC 29715RIA
BD
CRD#: 8733
PORT ORCHARD, WA
Past
June 8, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
Mercer Island, WA
Past
June 8, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Mercer Island, WA
Past
November 10, 2021 - April 18, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
POULSBO, WA
Past
November 10, 2021 - April 18, 2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
POULSBO, WA
Past
April 16, 2021 - August 6, 2021
ALLSTATE FINANCIAL ADVISORS, LLC
RIA
CRD#: 109524
Port Orchard, WA
Past
April 16, 2021 - August 6, 2021
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
PORT ORCHARD, WA
Past
October 13, 2020 - February 17, 2021
FIRST COMMAND ADVISORY SERVICES
RIA
CRD#: 281958
Silverdale, WA
Past
July 20, 2020 - February 17, 2021
FIRST COMMAND BROKERAGE SERVICES, INC.
BD
CRD#: 3641
SILVERDALE, WA
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".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Oregon(11/14/2024)
RR
Washington(11/14/2024)
IAR
Washington(11/14/2024)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/18/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
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.
