Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you James? Claim Your ProfileJames Gonzales has been in the financial services industry since 1984. James is currently a Registered Representative at LPL Financial LLC in Aliso Viejo, CA. James is licensed to offer securities in 9 states and also holds Series 7 and Series 63 licenses. Previous firms include Associated Securities Corp. and RSR Capital Group, 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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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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CA
09/08/2009 - Present
LPL Financial LLC (ALISO VIEJO CA)
CA
11/17/1995 - 09/08/2009
ASSOCIATED SECURITIES CORP. (NEWPORT BEACH CA)
NA
12/07/1990 - 11/22/1995
RSR CAPITAL GROUP, INC.
FL
02/02/1990 - 12/12/1990
ROBERT THOMAS SECURITIES, INC (ST. PETERSBURG FL)
CA
03/02/1984 - 02/14/1990
MUNICICORP OF CALIFORNIA (WOODLAND HILLS CA)
BC
Issued 08/27/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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