EP
Esperanza Padilla Gomez
CAMBRIDGE INVESTMENT RESEARCH ADVISORS
Downey, CA
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CRD#: 1386295
EP
Professional summary
Esperanza Padilla Gomez, who also goes by Esperanza Gomez Padilla, Espi Padilla, Esperanza Padilla-gomez, is a registered financial advisor currently at CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. located in Downey, California and CAMBRIDGE INVESTMENT RESEARCH, INC. located in Seal Beach, California.
Esperanza is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Esperanza has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Esperanza Gomez Padilla | Espi Padilla | Esperanza Padilla-Gomez
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1.CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, IA, AS ADVISORY REP OF A RIA. INV REL - 20/WK - 4/TRADING. SEE EMPLOYMENT HISTORY FOR START DATE. 2.GATEWAY FINANCIAL ADVISORS, 210 CROW CANYON PL, STE 100, SAN RAMON, CA, 5/2016 AS INDEPENDENT INSURANCE AGENT FOR VARIOUS INDEPENDENT INSURANCE COMPANIES. INV REL - 20/WK - 20/TRADING. 3.THE CREPEREE LA, 11721 Patton Rd, Downey CA 90241, 03/2025, Owner, food industry, dog boarding, NIR, 10 HR/MO, 0 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Esperanza Padilla Gomez's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 17, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #2: 3020 Old Rand Pkwy. Ste 300, Seal Beach, CA 90740RIA
CRD#: 134139
Downey, CA
Current
May 16, 2016 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 3020 Old Ranch Pkwy Ste 300, Seal Beach, CA 90740BD
CRD#: 39543
Seal Beach, CA
Past
December 2, 2013 - June 8, 2017
INTEGRATED WEALTH MANAGEMENT, INC.
RIA
CRD#: 106335
NEWPORT BEACH, CA
Past
November 18, 2013 - May 13, 2016
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
NEWPORT BEACH, CA
Past
March 28, 2008 - November 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SEAL BEACH, CA
Past
March 28, 2008 - November 8, 2013
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
SEAL BEACH, CA
Past
December 12, 2003 - April 14, 2008
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
NEWPORT BEACH, CA
Past
December 12, 2003 - April 14, 2008
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
NEWPORT BEACH, CA
Past
August 6, 2002 - December 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
SEAL BEACH, CA
Past
August 6, 2002 - December 19, 2003
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
July 8, 1997 - June 13, 2002
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
LOS ANGELES, CA
Past
June 9, 1997 - June 13, 2002
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
April 18, 1995 - June 17, 1997
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(6/24/2016)
RR
California(5/16/2016)
IAR
California(5/17/2016)
RR
Colorado(4/15/2020)
RR
District of Columbia(6/23/2022)
RR
Idaho(5/19/2016)
RR
North Carolina(5/16/2016)
RR
Oregon(8/15/2016)
RR
South Dakota(4/11/2017)
RR
Washington(6/5/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
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.
