Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Joshua? Claim Your ProfileJoshua Charles Gonzalez is an active registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc., with a current registration in New York and Texas. Joshua has been in the financial services industry since 2004. His previous experience includes roles with CITIGROUP GLOBAL MARKETS INC., MORGAN STANLEY & CO., INCORPORATED, and TD WATERHOUSE INVESTOR SERVICES, INC. Joshua holds several licenses, including Series 63, 66, 7, and 9. He is registered with both the Securities and Exchange Commission (SEC) and the Financial Industry Regulatory Authority (FINRA).
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
05/30/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
03/23/2010 - 04/04/2023
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MD
09/21/2007 - 03/12/2008
MORGAN STANLEY & CO., INCORPORATED (BALTIMORE MD)
MD
02/27/2007 - 08/30/2007
CITIGROUP GLOBAL MARKETS INC. (BALTIMORE MD)
NE
03/25/2000 - 05/02/2005
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 06/22/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/20/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/08/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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