Roman Gonzalez is a registered investment advisor, based in Scottsdale, AZ, with 16 years of industry experience. Roman is also registered as a broker, so some compensation may come from commissions on products sold.
Location
14321 N Northsight Blvd, Scottsdale, AZ, 85260
Get directionsHistory
Regulatory History (1)
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Customer Dispute
January 2018Settled
Employment History
Current Registrations
Vanguard Marketing Corporation
June 2026 - Present · 4 mos
Vanguard Marketing CorporationBroker
June 2026 - Present · 4 mos
Vanguard Advisers, INC.
June 2026 - Present · 4 mos
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
June 2022 - June 2025 · 3 yrs
Wells Fargo Advisors
June 2022 - June 2025 · 3 yrs
Allstate Financial Services, LLCBroker
August 2019 - June 2022 · 2 yrs 10 mos
Allstate Financial Advisors, LLC
August 2019 - June 2022 · 2 yrs 10 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
May 2015 - April 2019 · 3 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
May 2015 - April 2019 · 3 yrs 11 mos
J.P. Morgan Securities LLC
December 2014 - May 2015 · 5 mos
J.P. Morgan Securities LLCBroker
October 2012 - May 2015 · 2 yrs 7 mos
Chase Investment Services CORP.Broker
December 2008 - October 2012 · 3 yrs 10 mos
Wachovia Securities, LLCBroker
October 2007 - December 2007 · 2 mos
State Registrations2 states
AZTX
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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