Joseph A. Gomez

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CRD#: 1565135

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.

Joseph Anthony Gomez, who also goes by Joe Gomez, Joseph A Gomez, Joseph Gomez, was a registered financial professional .

Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 8 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Joe Gomez | Joseph A Gomez | Joseph 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 27, 2012 - April 11, 2012

ALHAMBRA INVESTMENT MANAGEMENT LLC

RIA

CRD#: 138537

PALMETTO BAY, FL

Past

November 23, 2004 - May 30, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

RIA

CRD#: 6694

MIAMI, FL

Past

June 17, 2004 - May 30, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MIAMI, FL

Past

April 23, 2003 - March 31, 2004

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

MIAMI, FL

Past

April 15, 2003 - March 31, 2004

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

ATLANTA, GA

Past

June 3, 2002 - April 7, 2003

UBS INTERNATIONAL INC.

RIA

CRD#: 107726

MIAMI, FL

Past

June 3, 2002 - April 7, 2003

UBS INTERNATIONAL INC.

CRD#: 107726

NEW YORK, NY

Past

May 1, 1998 - June 1, 2002

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

MIAMI, FL

Past

April 28, 1998 - June 3, 2002

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

October 13, 1995 - April 29, 1998

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

April 1, 1993 - October 11, 1995

BARNETT INVESTMENTS, INC.

CRD#: 14897

JACKSONVILLE, FL

Past

August 16, 1991 - April 29, 1993

UBS FINANCIAL SERVICES INC.

CRD#: 8174

WEEHAWKEN, NJ

Past

November 21, 1986 - May 5, 1987

GREENTREE SECURITIES CORP.

CRD#: 7372

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".

ALHAMBRA INVESTMENT MANAGEMENT LLC

ALHAMBRA INVESTMENT MANAGEMENT LLC | ALHAMBRA INVESTMENT PARTNERS LLC

CRD#: 138537 / SEC#: 801-66624

RIA

Registered Investment Advisory firm - (5/4/2006 Approved)

Texas

Registered Investment Advisory firm - (5/1/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 12/8/2011

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/18/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 8/15/1991

General Securities Representative Examination

Current Firm

ALHAMBRA INVESTMENT MANAGEMENT LLC

ALHAMBRA INVESTMENT MANAGEMENT LLC | ALHAMBRA INVESTMENT PARTNERS LLC

CRD#: 138537 / SEC#: 801-66624

RIA

Registered Investment Advisory firm - (5/4/2006 Approved)

Texas

Registered Investment Advisory firm - (5/1/2006 Terminated)

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Contact information

Main Address

8925 Sw 148 Street Suite 214, Palmetto Bay, FL 33176

Mailing Address

Po Box 1198, Aiken, SC 29802

Phone number

(305) 233-3772

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (15 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

AIM GENERAL BROCHURE - 2025 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	486
AUM (Assets Under Management)	$ 278,558,234

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.

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Advisor Monitoring

Firm Stability Insights

Joseph A. Gomez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RAYMOND JAMES FINANCIAL SERVICES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

UBS INTERNATIONAL INC.

UBS INTERNATIONAL INC.

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

CIBC WORLD MARKETS CORP.

BARNETT INVESTMENTS, INC.

UBS FINANCIAL SERVICES INC.

GREENTREE SECURITIES CORP.

Primary Firm SEC Registration

ALHAMBRA INVESTMENT MANAGEMENT LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/8/2011

Series 63

Date: 9/18/1991

Series 7

Date: 8/15/1991

Current Firm

ALHAMBRA INVESTMENT MANAGEMENT LLC

Contact information

SEC notice filing (15 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALHAMBRA INVESTMENT MANAGEMENT LLC

TRUST BUT VERIFY

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