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Guillermo Gonzalez

Stifel, Nicolaus & Company, Incorporated

Coral Gables, FL

Coral Gables, FL

CRD 1316014

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Employer firm

Stifel, Nicolaus & Company, Incorporated CRD 793

$198B regulatory AUM

Reported services (Item 5G)

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

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

Current Employers
Stifel, Nicolaus & Company, Incorporated

501 N Broadway, St Louis, MO 63102 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2021-08-27
  • FL RA
    APPROVED
    Since 2021-08-27

Branch Locations

Coral Gables, FL • United States

2333 Ponce Deleon 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
Wells Fargo Advisors, Llc Coral Gables FL 06/2016 11/2016
Wells Fargo Clearing Services, Llc Coral Gables FL 11/2016 08/2021
Stifel Nicolaus & Co Inc Miami FL 08/2021 Present
  • 06/2016 → 11/2016
    Wells Fargo Advisors, Llc
    Coral Gables, FL
  • 11/2016 → 08/2021
    Wells Fargo Clearing Services, Llc
    Coral Gables, FL
  • 08/2021 → Present
    Stifel Nicolaus & Co Inc
    Miami, FL
Previous Registrations
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-05-09
S63 Uniform Securities Agent State Law Examination 1989-03-21
  • S66 Uniform Combined State Law Examination
    2008-05-09
  • S63 Uniform Securities Agent State Law Examination
    1989-03-21

View on SEC IAPD

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