Gregory B. Gomez
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Gregory Basile Gomez, who also goes by Gregory Basil Gomez, Gregory Gomez, Gregory B Gomez, was a registered financial professional .
Gregory is a previously registered financial professional and started their career in finance in 1981. Gregory had worked at 14 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2016 - September 4, 2019
J.P. MORGAN SECURITIES LLC
October 6, 2015 - November 15, 2016
MULTI-BANK SECURITIES, INC.
May 7, 2013 - July 27, 2015
BROWNSTONE INVESTMENT GROUP, LLC
March 11, 2011 - March 4, 2013
COHEN & COMPANY SECURITIES, LLC
August 2, 2010 - February 16, 2011
ADVISORS ASSET MANAGEMENT, INC.
March 22, 2001 - October 1, 2001
ORMES CAPITAL MARKETS, INC.
April 19, 1993 - December 30, 1994
TUCKER ANTHONY INCORPORATED
December 2, 1992 - March 26, 1993
NATWEST SECURITIES CORPORATION
July 21, 1992 - March 26, 1993
COUNTY NATWEST GLOBAL SECURITIES LIMITED
September 4, 1990 - May 28, 1992
WELLS FARGO CLEARING SERVICES, LLC
May 23, 1990 - September 4, 1990
PRESCOTT, BALL & TURBEN, INC.
September 22, 1989 - June 8, 1990
MABON, NUGENT & CO.
August 2, 1988 - June 21, 1989
PRUDENTIAL EQUITY GROUP, LLC
April 24, 1986 - September 3, 1986
CITIGROUP GLOBAL MARKETS INC.
November 27, 1981 - April 24, 1986
PRUDENTIAL EQUITY GROUP, LLC
Primary Firm SEC Registration
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
J.P. MORGAN SECURITIES LLC
CRD#: 79 / SEC#: 801-3702, 8-35008
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| J.P. MORGAN BROKER-DEALER HOLDINGS INC. | MEMBER | |
| AIDELSON, DAVID | CHIEF LEGAL OFFICER | 7884539 |
| ALAOUI ABDALLAOUI, RACHID | CEO, CHAIR, ELECTED MANAGER | 7122597 |
| BISESI, BRIAN J | ELECTED MANAGER | 3090554 |
| CHOI, MICHAEL | CHIEF COMPLIANCE OFFICER - REGISTERED INVESTMENT ADVISER | 6597789 |
| COLLINS, JAMES MICHAEL | CHIEF FINANCIAL OFFICER | 2725065 |
| DEMPSEY, PATRICK PAUL | TREASURER | 2830362 |
| ENGLANDER, ADAM F | ELECTED MANAGER | 2941059 |
| FOLEY, KEVIN J | ELECTED MANAGER | 4012244 |
| KLION, ROGER | CHIEF OPERATING OFFICER | 5082261 |
| MCCRUM, CARRIE | ELECTED MANAGER | 7675791 |
| SABLE, MATTHEW D | ELECTED MANAGER | 4835849 |
| TEPPER, ERIC D. | ELECTED MANAGER | 2242377 |
| VIENICK, PAUL | ELECTED MANAGER | 2212982 |
| VILLWOCK, DAVID S | CHIEF COMPLIANCE OFFICER - BROKER DEALER | 8071637 |
Regulatory assets under management
| Total Number of Accounts | 1,055,400 |
| AUM (Assets Under Management) | $ 352,605,441,286 |
Disclosures
| Regulatory Event | 392 |
| Civil Event | 9 |
| Arbitration | 143 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/25/2025 | ||
| 10/25/2024 | ||
| 11/27/2023 | ||
| 01/03/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
