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Rogelio Gabriel Gonzalez

Advisors Asset Management, Inc.

Boca Raton, FL

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Current Employers
Advisors Asset Management, Inc.

18925 Base Camp Road Suite 203, Monument, CO 80132 • United States

Current Registrations

AuthorityCategoryStatusDate
FL RA APPROVED 2023-02-07
  • FL RA
    APPROVED
    Since 2023-02-07

Branch Locations

1499 W. Palmetto Park Road Suite 401, Boca Raton, FL 33486 • 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
Ally Invest Securities Llc Charlotte NC 03/2017 02/2019
John Ingraham Llc Shallotte NC 07/2016 12/2016
Unemployed Indian Trail NC 12/2016 03/2017
Tradestation Securities, Inc. Plantation FL 04/2019 05/2019
Ameriprise Financial Services, Inc. Boca Raton FL 08/2019 11/2019
Incapital Llc Boca Raton FL 02/2020 03/2022
Unemployed Boynton Beach FL 04/2022 06/2022
Kaseya Miami FL 07/2022 09/2022
Qit Solutions West Palm Beach FL 11/2022 01/2023
Advisors Asset Management, Inc Monument CO 02/2023 Present
  • 03/2017 → 02/2019
    Ally Invest Securities Llc
    Charlotte, NC
  • 07/2016 → 12/2016
    John Ingraham Llc
    Shallotte, NC
  • 12/2016 → 03/2017
    Unemployed
    Indian Trail, NC
  • 04/2019 → 05/2019
    Tradestation Securities, Inc.
    Plantation, FL
  • 08/2019 → 11/2019
    Ameriprise Financial Services, Inc.
    Boca Raton, FL
  • 02/2020 → 03/2022
    Incapital Llc
    Boca Raton, FL
  • 04/2022 → 06/2022
    Unemployed
    Boynton Beach, FL
  • 07/2022 → 09/2022
    Kaseya
    Miami, FL
  • 11/2022 → 01/2023
    Qit Solutions
    West Palm Beach, FL
  • 02/2023 → Present
    Advisors Asset Management, Inc
    Monument, CO
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2022-07-06
S63 Uniform Securities Agent State Law Examination 2017-08-25
  • S65 Uniform Investment Adviser Law Examination
    2022-07-06
  • S63 Uniform Securities Agent State Law Examination
    2017-08-25
Other Names
  • Gabe Gonzalez
  • Rogelio Gabriel Gonzalez
  • Rogelio Gabriel Gonzalez
  • Rogelio Gabriel Gonzalez

View on SEC IAPD

Other Firms

SUN CAPITAL ADVISORS, L.P.
AMERIPRISE FINANCIAL SERVICES, LLC
HIGHTOWER ADVISORS, LLC
ISAM FUNDS (USA) LLC
J.P. MORGAN SECURITIES LLC
FOCUS PARTNERS WEALTH, LLC
UBS FINANCIAL SERVICES INC.
WELLS FARGO CLEARING SERVICES, LLC

Other Investors

THOMAS JETHRO DARDEN
Nancy JoeAnn Tush
LANCE P ROSS
BARBARA BLOOM VARGAS
ISABEL VOYER
JEFFREY MARK EAGLE
ELIZABETH V BRUNO
GREGORY DEHRMANN MISEYKO

Other Offices

SUN CAPITAL ADVISORS, L.P. · BOCA RATON, FL
AMERIPRISE FINANCIAL SERVICES, LLC · BOCA RATON, FL
HIGHTOWER ADVISORS, LLC · Boca Raton, FL
ISAM FUNDS (USA) LLC · BOCA RATON, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL
J.P. MORGAN SECURITIES LLC · Boca Raton, FL
FOCUS PARTNERS WEALTH, LLC · Boca Raton, FL

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