Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dorian? Claim Your ProfileDorian Gonzalez is an active investment advisor representative and registered representative with Oppenheimer & Co. Inc. Dorian has been in the financial services industry since August 21, 1997. Dorian is registered in 14 states and has passed Series 31, Series 63, Series 65 and Series 7 exams. Dorian holds a Certified Financial Planner designation. Dorian is registered with Oppenheimer & Co. Inc. and previously worked at Morgan Keegan & Company, Inc., PFIC Securities Corporation, WM Financial Services, Inc., and First Union Brokerage Services, Inc.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
FL
11/14/2007 - Present
Oppenheimer & Co. Inc. (CORAL GABLES FL)
FL
07/28/2004 - 10/29/2007
MORGAN KEEGAN & COMPANY, INC. (CORAL GABLES FL)
TN
09/24/1999 - 08/05/2004
PFIC SECURITIES CORPORATION (FRANKLIN TN)
CA
09/30/1998 - 09/22/1999
WM FINANCIAL SERVICES, INC. (IRVINE CA)
NC
08/08/1997 - 09/23/1998
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
BC
Issued 03/27/2006
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 05/30/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/05/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 08/07/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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