Hari Gonzalez

$430B regulatory AUM 407,036 advisory clients

Reported services (Item 5G)

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

270 Park Avenue, New York, NY 10017 • United States

Current Registrations

Authority	Category	Status	Date
TX	RA	APPROVED	2021-04-09
WA	RA	APPROVED	2021-04-09

Branch Locations

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

Organization	City	State	From	To
Wells Fargo Bank, Na	Seattle	WA	07/2014	03/2018
Wells Fargo Clearing Services, Llc	Seattle	WA	01/2018	03/2018
City University Of Seattle	Seattle	WA	04/2014	12/2016
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Seattle	WA	03/2018	03/2021
Bank Of America, N.A.	Seattle	WA	03/2018	03/2021
J.P. Morgan Securities Llc	Seattle	WA	04/2021	Present
J.P. Morgan Chase Bank, N.A.	Seattle	WA	04/2021	Present

07/2014 → 03/2018

Wells Fargo Bank, Na

Seattle, WA
01/2018 → 03/2018

Wells Fargo Clearing Services, Llc

Seattle, WA
04/2014 → 12/2016

City University Of Seattle

Seattle, WA
03/2018 → 03/2021

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Seattle, WA
03/2018 → 03/2021

Bank Of America, N.A.

Seattle, WA
04/2021 → Present

J.P. Morgan Securities Llc

Seattle, WA
04/2021 → Present

J.P. Morgan Chase Bank, N.A.

Seattle, WA

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-06-22

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