RG
RG
Ricardo Gonzalez
40 Years of Experience
Coral Gables, FL
1 DisclosureBroker
Ricardo Gonzalez is a registered investment advisor at UBS Financial Services INC., based in Coral Gables, FL, with 40 years of industry experience. Ricardo is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more. Their firm serves 1,144,588 clients with $920B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
9366 advisors
IM Fee
Planning only
Assets Under Management
$915.8B
Fee Structure
Investment management only (planning not offered)
- Customized Financial Planning Services — Typically ranges from $1,000 to $10,000, with a general range of $500 to $50,000 depending on the scope and complexity of the engagement. Fees up to $100,000 may be permitted for highly complex situations involving relationships with a net worth of $100 million or more.
One-Time Plan:$500 - $50,000
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Location
4225 Ponce De Leon Blvd, Suite 600, Coral Gables, FL, 33146
Get directionsHistory
Regulatory History (1)
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
September 1999Settled
Employment History
Current Registrations
UBS Financial Services INC.
January 2010 - Present · 16 yrs 9 mos
UBS Financial Services INC.Broker
January 2010 - Present · 16 yrs 9 mos
Previous Registrations
UBS Financial Services Incorporated of Puerto RicoBroker
August 2017 - August 2021 · 4 yrs
UBS International INC.
January 2008 - January 2010 · 2 yrs
UBS International INC.
June 2002 - October 2007 · 5 yrs 4 mos
UBS Painewebber INC.
June 2002 - June 2002 · 0 mos
UBS International INC.Broker
March 2002 - January 2010 · 7 yrs 10 mos
Painewebber Incorporated of Puerto RicoBroker
February 1991 - August 1998 · 7 yrs 6 mos
UBS Painewebber INC.Broker
January 1987 - June 2002 · 15 yrs 5 mos
Shearson Lehman Brothers INC.Broker
May 1986 - December 1986 · 7 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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.
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