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Current Employers
Merrill Lynch, Pierce, Fenner & Smith Incorporated

One Bryant Park, New York, NY 10036 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2013-03-19
FL RA APPROVED 2009-12-16
  • TX RA
    APPROVED_RES
    Since 2013-03-19
  • FL RA
    APPROVED
    Since 2009-12-16

Branch Locations

15 2Nd St / 15 Calle 2, Guaynabo, PR 00968 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Merrill Lynch, Pierce, Fenner & Smith Incorporated Guaynabo PR 08/2009 Present
Bank Of America, N.A. Guaynabo PR 11/2012 Present
Other Businesses

I*46525FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: PASO A PASO CENTRO INTERDISCIPLINARIO DEL APRENDIZINVESTMENT RELATED: NADDRESS OF BUSINESS:BAYAMON, 970NATURE OF BUSINESS: CORPORATION,POSITION, TITLE, ASSOCIATION: OWNER, START DATE OF RELATIONSHIP: 7/1/2011NUMBER OF HOURS DEVOTED: 2 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: I WILL BE 50% OWNER AND WILL PARTICIPATE IN A MONTHLY MEETING TO ANALYZE FINANCIAL STATEMENTS.I*30094FOR PROFIT OR NOT FOR PROFIT: FOR-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: GOAL ENTERPRISES INC.INVESTMENT RELATED: NADDRESS OF BUSINESS:GUAYNABO, FLORIDA 910NATURE OF BUSINESS: LLC,POSITION, TITLE, ASSOCIATION: FAMILY HELD, START DATE OF RELATIONSHIP: 12:00:00 AMNUMBER OF HOURS DEVOTED: 10 HOUR(S) ANNUALLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: PARTNERI*91473FOR PROFIT OR NOT FOR PROFIT: NON-PROFIT ORGANIZATIONNAME OF OUTSIDE BUSINESS ORGANIZATION: RICKY MARTIN FOUNDATIONINVESTMENT RELATED: NADDRESS OF BUSINESS:PONCE DE LEON, HATO REYSAN JUAN, 918NATURE OF BUSINESS: CHARITABLE ORGANIZATION,POSITION, TITLE, ASSOCIATION: DIRECTOR, START DATE OF RELATIONSHIP: 3/11/2016NUMBER OF HOURS DEVOTED: 3 HOUR(S) MONTHLYNUMBER OF HOURS DEVOTED DURING TRADING HOURS: 0DUTIES: SECRETARY OF THE BOARD FOR THE FOUNDATION. MY RESPONSABILITY IS COLLECTIVELY WITH OTHER BOARD MEMEBERS ANLYZE BUDGET, AND IDEAS FOR ACTIVITIES FOR FUNDRAISING.I*8131For profit or not for profit: Name of outside business organization: Carlos GonzalezInvestment related: Address of business:San Juan, 901Nature of business: ,Position, title, association: , Start date of relationship: 7/15/2018Number of hours devoted: 0 hour(s) Number of hours devoted during trading hours: 0Duties:I*8200For profit or not for profit: Name of outside business organization: Carlos GonzalezInvestment related: Address of business:San Juan, 907Nature of business: ,Position, title, association: , Start date of relationship: 3/1/2018Number of hours devoted: 2 hour(s) Number of hours devoted during trading hours: 0Duties: I*1290256For profit or not for profit: Entity For ProfitName of outside business organization: CIGA Investments LLCInvestment related: NAddress of business: OBA, OBA, OBANature of business: ["Limited Liability Company"]Position, title, association: ["Owner"], Start date of relationship: 1/1/2023Number of hours devoted: 0 hour(s) YearlyNumber of hours devoted during trading hours: 0Duties: , Non operating entity created for Estate Tax purposeI* 1697304For profit or not for profit: Entity For ProfitName of outside business organization: GA Family Investments LLCInvestment related: noAddress of business: San Juan, 00901, Puerto RicoNature of business: Limited Liability CompanyPosition, title, association: OwnerStart date of relationship: 03/01/2024Number of hours devoted: 1 yearlyNumber of hours devoted during trading hours: 0Duties: Real estate investment

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-10
S63 Uniform Securities Agent State Law Examination 2000-06-23
  • S65 Uniform Investment Adviser Law Examination
    2009-12-10
  • S63 Uniform Securities Agent State Law Examination
    2000-06-23
Other Names
  • Carlos Ivan Gonzalez

View on SEC IAPD

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