Marie A. Soria-gomes
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.
Marie Anne Soria-gomes, who also goes by Marie A Gomes, Marie Anne Soriagomes, was a registered financial professional .
Marie is a previously registered financial professional and started their career in finance in 1990. Marie had worked at 4 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 2, 2012 - January 8, 2013
NEXT FINANCIAL GROUP, INC.
January 24, 2012 - March 22, 2012
MSI FINANCIAL SERVICES, INC.
November 23, 2006 - October 11, 2010
AMERICAN FIDELITY SECURITIES, INC.
June 9, 2003 - June 25, 2004
AMERICAN FIDELITY SECURITIES, INC.
April 29, 2002 - January 27, 2003
AMERICAN FIDELITY SECURITIES, INC.
January 2, 1997 - January 8, 1997
METROPOLITAN LIFE INSURANCE COMPANY
January 2, 1997 - January 8, 1997
MSI FINANCIAL SERVICES, INC.
October 29, 1992 - June 3, 1994
MSI FINANCIAL SERVICES, INC.
October 17, 1990 - November 15, 1991
MSI FINANCIAL SERVICES, INC.
October 17, 1990 - January 8, 1997
METROPOLITAN LIFE INSURANCE COMPANY
Primary Firm SEC Registration
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
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
NEXT FINANCIAL GROUP, INC.
CRD#: 46214 / SEC#: 801-56786, 8-51356
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (10 States and Territories)
Documents
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 16,805 |
| AUM (Assets Under Management) | $ 3,769,456,133 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 3 |
| Bond | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/27/2024 | ||
| 06/28/2024 |
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.
