John Gonzalez
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.
John Gonzalez was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1981. John had worked at 15 firms and has passed the Series 63, Series 99TO, Series 72, 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
January 13, 2020 - January 14, 2022
DINOSAUR FINANCIAL GROUP, L.L.C
April 22, 2019 - December 12, 2019
STONEX FINANCIAL INC.
April 26, 2018 - September 11, 2018
B. RILEY WEALTH MANAGEMENT
April 26, 2018 - October 26, 2018
B. RILEY SECURITIES, INC.
September 28, 2017 - April 19, 2018
HERBERT J. SIMS & CO, INC.
September 10, 2013 - September 22, 2017
OPPENHEIMER & CO. INC.
December 12, 2001 - September 9, 2013
HILLTOP SECURITIES INC.
January 1, 2001 - December 5, 2001
MILLER JOHNSON STEICHEN KINNARD, INC.
June 30, 2000 - January 1, 2001
MJK CLEARING, INC.
January 11, 2000 - December 5, 2001
R.W. SMITH & ASSOCIATES, LLC
October 1, 1999 - January 3, 2000
HARTFIELD, TITUS & DONNELLY, LLC
November 17, 1995 - January 7, 2000
TITUS & DONNELLY LLC
November 1, 1993 - January 2, 1996
CANTOR FITZGERALD SECURITIES
April 16, 1993 - January 2, 1996
MINT BROKERS
May 23, 1985 - February 16, 1993
TITUS & DONNELLY LLC
October 19, 1981 - November 9, 1984
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 72
Date: 1/2/2023
Government Securities Representative ExaminationCurrent Firm
DINOSAUR FINANCIAL GROUP, L.L.C
CRD#: 104446 / SEC#: , 8-52908
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 5 |
| Arbitration | 1 |
Red Flags
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