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Detailed Report
ROEL GONZALES
CRD#: 3126564
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 999 E BASSE RD
STE 300
SAN ANTONIO, TX 78209
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2003 - 2005 (2 years)2 FIRMS2005 - 2011 (6 years)2 FIRMS2013 - 2022 (8 years)2 FIRMS2022 - Present (2 years)BUSAA INVESTMENT MANAGEMENT COMPANY (CRD# 5475)1998 - 2002 (4 years)IAUSAA INVESTMENT MANAGEMENT COMPANY (CRD# 5475)2002 - 2002 (<1 year)
License(s)

State Registrations

B
Texas 8/22/2022
IA
Texas 8/22/2022

SRO Registrations

B
 Cboe BZX Exchange, Inc.
B
 Cboe Exchange, Inc.
B
 FINRA
B
 NYSE American LLC
B
 NYSE Arca, Inc.
B
 NYSE Texas, Inc.
B
 Nasdaq GEMX, LLC
B
 Nasdaq ISE, LLC
B
 Nasdaq PHLX LLC
B
 Nasdaq Stock Market
B
 New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
999 E BASSE RD STE 300, SAN ANTONIO, TX 78209
Registered with this firm since 8/22/2022
B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
999 E BASSE RD STE 300, SAN ANTONIO, TX 78209
Registered with this firm since 8/22/2022
Previous Registration(s)
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IA
 08/05/2013 - 07/30/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN ANTONIO, TX
B
 08/07/2013 - 07/30/2022 J.P. MORGAN SECURITIES LLC (CRD#:79) SAN ANTONIO, TX
IA
 07/06/2005 - 08/22/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN ANTONIO, TX
B
 07/06/2005 - 08/22/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) SAN ANTONIO, TX
IA
 03/28/2003 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) SAN ANTONIO, TX
B
 03/28/2003 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
IA
 09/17/2002 - 11/13/2002 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) SAN ANTONIO, TX
B
 10/14/1998 - 11/13/2002 USAA INVESTMENT MANAGEMENT COMPANY (CRD#:5475) SAN ANTONIO, TX
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.