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Jose Dejesus Gonzalez

LPl Financial LLC

Fontana, CA

CRD 2871182

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

Current Employers
Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2025-10-13
TX RA APPROVED 2012-04-27
  • CA RA
    APPROVED
    Since 2025-10-13
  • TX RA
    APPROVED
    Since 2012-04-27

Branch Locations

Fontana, CA • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Lpl Financial Downey CA 04/2012 Present
  • 04/2012 → Present
    Lpl Financial
    Downey, CA
Previous Registrations
  • 2009-10-23 → 2012-05-02
    Merrill Lynch, Pierce, Fenner & Smith Incorporated
    El Monte, CA
    City Of Commerce, CA
    South Gate, CA
    City Of Commerce, CA
    Pasadena, CA
  • 2002-03-22 → 2009-10-23
    Banc Of America Investment Services, Inc.
    El Monte, CA
    South Gate, CA
    City Of Commerce, CA
    City Of Commerce, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-03-06
S63 Uniform Securities Agent State Law Examination 1997-04-05
  • S65 Uniform Investment Adviser Law Examination
    2002-03-06
  • S63 Uniform Securities Agent State Law Examination
    1997-04-05

View on SEC IAPD

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