Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Diego? Claim Your ProfileDiego T. Gonzalez is a financial advisor with Wells Fargo Clearing Services, LLC. Diego is a registered representative with FINRA and a registered investment advisor representative in California. Diego has been in the securities industry since 2015 and has a broad range of experience in providing financial advice and investment management services to individual clients. Diego has worked previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Citigroup Global Markets Inc. Diego has earned the Series 6, 7, 63 and 65 licenses and the SIE exam. Diego specializes in providing financial advice and investment management services to high-net-worth individuals, corporations and pension and profit-sharing plans. Diego is committed to providing personalized financial advice and investment management services to help clients reach their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CA
06/21/2023 - Present
Wells Fargo Clearing Services, LLC (PASADENA CA)
CA
10/07/2021 - 06/28/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PASADENA CA)
CA
09/17/2018 - 10/11/2021
CITIGROUP GLOBAL MARKETS INC. (Los Angeles CA)
CA
08/01/2015 - 07/17/2018
WELLS FARGO CLEARING SERVICES, LLC (LOS ANGELES CA)
IA
Issued 08/06/2020
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/22/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/06/2017
Series 7 - General Securities Representative Examination
BC
Issued 08/01/2015
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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