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Information

Other Names: Jose M Gonzalez, Jose Maria Gonzalez Gullon
Firm:
Additional Firm:
Type: Dual Registration
Description

Jose Gonzalez is a financial professional at LPL Financial LLC, a broker-dealer with over 17,700 registered representatives nationwide. Jose is also registered with Texas Legacy Wealth Management, a $113M RIA based in San Antonio, TX. Jose has held an industry securities registration for a year and is subject to SEC and FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Jose Maria Gonzalez has not answered any questions on Financial Q&A.

Top Guides

Jose Maria Gonzalez has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Texas Legacy Wealth Management 8 months, 3 weeks Aug 2013 - Present
LPL Financial LLC 9 months, 3 weeks Jul 2013 - Present
Investment Professionals, Inc. 10 months Oct 2012 - Aug 2013
Tecnun School of Engineering - University of Navarra 8 years Sep 2004 - Sep 2012
Duques De Najera High School 2 years Sep 2002 - Sep 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 12/19/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

No Disclosures Found

No Disclosures Found

As of Date
12/19/2013
02/04/2014
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 04/15/2013
General Securities Representative Examination Series 7 11/12/2012

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions