Mauricio Gonzalez
Professional Summary
Mauricio Gonzalez is a registered financial advisor currently at EFG CAPITAL INTERNATIONAL located in Miami, Florida. Mauricio is registered as a RR (Registered Representative) and started their career in finance in 2024. Mauricio has worked at 1 firm and has passed the Series 7TO, SIE and Series 24 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
Similar Advisors
SUMMIT FINANCIAL, LLC
Videos & Posts
This advisor has not added any videos or posts yet.
Similar Advisors
SUMMIT FINANCIAL, LLC
Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
Similar Advisors
SUMMIT FINANCIAL, LLC
Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
Years of Experience
2 years registered in the securities industry
Current & Past Employments
Current
Similar Advisors
SUMMIT FINANCIAL, LLC
Current Firm
BDD CAPITAL INTERNATIONAL CORP. | EFG CAPITAL INTERNATIONAL CORP. | EFG CAPITAL INTERNATIONAL | EFG CAPITAL | BDD INTERNATIONAL, LTD.
Contact Information
Main Address
701 Brickell Ave 9th Floor & Suite 1350, Miami, FL 33131Mailing Address
701 Brickell Ave 9th Floor & Suite 1310, Miami, FL 33131-2867Phone Number
(305) 482-8000Established
Delaware since 01/03/1996Firm Type
CorporationFiscal Year End
DecemberFirm Size
SmallFINRA licenses (31 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| EFG CAPITAL HOLDINGS CORP. | PARENT | — |
| ARGUMEDO, GUILLERMO ARTURO | SENIOR VICE PRESIDENT, REGISTERED OPTIONS PRINCIPAL | 2542794 |
| BORGES, LEONARDO SILVA | PRINCIPAL OPERATIONS OFFICER | 5637377 |
| ECHEVARRIA, VICTOR MANUEL | CHAIRMAN OF THE BOARD | 1939548 |
| GONZALEZ, CARLOS JAVIER | CHIEF COMPLIANCE OFFICER | 4294205 |
| LEVERETT, KYLE LAWRENCE | PRINCIPAL FINANCIAL OFFICER | 6123446 |
| MESQUITA, SILVANA SOBRAL | AMLCO | 6983852 |
| MOHOROVIC, SANJIN | CEO | 6849141 |
Disclosures
Regulatory Event
6Similar Advisors
SUMMIT FINANCIAL, LLC
Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
Similar Advisors
SUMMIT FINANCIAL, LLC
State Registrations and Notice Filings
(9/21/2024)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
Similar Advisors
SUMMIT FINANCIAL, LLC
CRS (Client Relationship Summary) - BD
Click below to view Mauricio Gonzalez's CRS (Customer Relationship Summary).
Similar Advisors
SUMMIT FINANCIAL, LLC