Articles Tagged with Luis Gonzalez

Luis Gonzalez

Public records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 1, 2018 indicate that Puerto Rico-based UBS Financial Services broker Luis Gonzalez has received numerous resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gonzalez (CRD# 2778967).

Luis Gonzalez has spent 22 years in the securities industry and has been registered with UBS Financial Services in San Juan, Puerto Rico since 2003. Previous registrations include Oriental Financial Services Corporation in San Juan, Puerto Rico (1999-2003) and PFS Investments in Duluth, Georgia (1996-1998). He has passed four securities industry examinations: Series 66 (Uniform Combined State Law Examination), which he obtained on March 25, 2008; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on July 14, 1999; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 3, 1996. He is a registered broker wth four US states and territories: Florida, New York, Puerto Rico, and the Virgin Islands.

According to his BrokerCheck report, he has received eight customer complaints and one pending customer complaint.

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