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George Gonzalez
41 Years of Experience
Phoenix, AZ
5 DisclosuresBroker
George Gonzalez is a registered investment advisor at Cetera Investment Advisers LLC, based in Phoenix, AZ, with 41 years of industry experience. George operates on a fee-only basis, meaning they do not earn commissions from product sales. Their firm serves 584,487 clients with $160B in assets under management.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
10345 advisors
IM Fee
Planning only
Assets Under Management
$163.8B
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Location
Phoenix, AZ
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Regulatory History (5)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
February 2015Settled
Employment Separation After Allegations
June 2002Regulatory
November 2001Final
Customer Dispute
November 1999Closed-No Action
Customer Dispute
July 1993Award / Judgment
Employment History
Current Registrations
Cetera Investment Advisers LLC
February 2026 - Present · 3 mos
Cetera Wealth Services, LLC
April 2022 - Present · 4 yrs 1 mo
Cetera Wealth Services, LLCBroker
April 2022 - Present · 4 yrs 1 mo
Previous Registrations
First Financial Equity CorporationBroker
September 2002 - April 2022 · 19 yrs 7 mos
Continental Broker-Dealer CORP.Broker
August 2002 - October 2002 · 2 mos
Kirlin Securities INC.Broker
February 1996 - July 2002 · 6 yrs 5 mos
Halpert and Company, INC.Broker
August 1985 - February 1996 · 10 yrs 6 mos
First Monmouth Securities CORP.Broker
May 1984 - August 1985 · 1 yr 3 mos
State Registrations11 states
AZCACTFLINMDNCNJNYPATX
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.