Ruben Gonzalez is a registered investment advisor, based in Ontario, CA, with 30 years of industry experience. Ruben is also registered as a broker, so some compensation may come from commissions on products sold.
Location
Ontario, CA
Get directionsHistory
Regulatory History (3)
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Customer Dispute
November 2008Denied
Regulatory
September 1994Final
Criminal
November 1991Final Disposition
Employment History
Current Registrations
Transamerica Investors Securities, LLCBroker
October 2014 - Present · 12 yrs
Transamerica Investors Securities, LLC
October 2014 - Present · 12 yrs
Transamerica Retirement Advisors, LLC
September 2014 - Present · 12 yrs 1 mo
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.
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