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Diego Fernando Gonzalez

Oppenheimer & Co. Inc.

Coral Gables, FL

CRD 1236137

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Employer firm

Oppenheimer & Co. Inc. CRD 249

$36.7B regulatory AUM

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Pension consulting
  • Selection of other advisers

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

Current Employers
Oppenheimer & Co. Inc.

85 Broad Street 22Nd Floor, New York, NY 10004 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2008-09-10
  • FL RA
    APPROVED
    Since 2008-09-10

Branch Locations

2811 Ponce De Leon Boulevard Suite 900, Coral Gables, FL 33134 • 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
Oppenheimer & Co. Inc. Miami FL 08/2008 Present
Previous Registrations
  • 2002-06-03 → 2008-09-19
    Ubs International Inc.
    Coral Gables, FL
    Coral Gables, FL
  • 1996-04-01 → 2002-06-01
    Ubs Financial Services Inc.
    Coral Gables, FL
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-05-15
S63 Uniform Securities Agent State Law Examination 1985-01-21
  • S65 Uniform Investment Adviser Law Examination
    1995-05-15
  • S63 Uniform Securities Agent State Law Examination
    1985-01-21
Other Names
  • Diego F Gonzalez

View on SEC IAPD

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RAYMOND JAMES & ASSOCIATES, INC. · CORAL GABLES, FL
STIFEL, NICOLAUS & COMPANY, INCORPORATED · Coral Gables, FL
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED · CORAL GABLES, FL

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