Ruben Gonzalez is a registered investment advisor, based in Ontario, CA, with 29 years of industry experience.
Location
Ontario, CA
Get directionsHistory
Regulatory History (3)
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
November 2008Denied
Regulatory
September 1994Final
Criminal
November 1991Final Disposition
Employment History
Current Registrations
Transamerica Investors Securities, LLCBroker
October 2014 - Present · 11 yrs 7 mos
Transamerica Investors Securities, LLC
October 2014 - Present · 11 yrs 7 mos
Transamerica Retirement Advisors, LLC
September 2014 - Present · 11 yrs 8 mos
Previous Registrations
Calton & Associates, INC.Broker
March 2014 - September 2014 · 6 mos
Calton & Associates, INC.
March 2014 - September 2014 · 6 mos
Chelsea Financial ServicesBroker
January 2014 - February 2014 · 1 mo
J.P. Morgan Securities LLCBroker
October 2012 - December 2013 · 1 yr 2 mos
J.P. Morgan Securities LLC
October 2012 - December 2013 · 1 yr 2 mos
Chase Investment Services CORP.
May 2009 - October 2012 · 3 yrs 5 mos
Chase Investment Services CORP.Broker
May 2009 - October 2012 · 3 yrs 5 mos
Wamu Investments, INC.
November 2007 - May 2009 · 1 yr 6 mos
Wamu Investments, INC.Broker
November 2007 - May 2009 · 1 yr 6 mos
Citigroup Global Markets INC.
May 2007 - November 2007 · 6 mos
Citigroup Global Markets INC.Broker
May 2007 - November 2007 · 6 mos
Citicorp Investment ServicesBroker
August 2006 - May 2007 · 9 mos
Linsco/private Ledger CORP.Broker
February 2006 - September 2006 · 7 mos
Wm Financial Services, INC.Broker
April 2002 - February 2006 · 3 yrs 10 mos
Safeco Investment Services, INC.Broker
November 2001 - April 2002 · 5 mos
Aetna Investment Services, LLCBroker
November 1998 - September 2001 · 2 yrs 10 mos
Manequity, INC.Broker
December 1996 - July 1998 · 1 yr 7 mos
Fimco Securities Group, INC.Broker
November 1995 - September 1996 · 10 mos
State Registrations1 state
CA
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.