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DG

Daniel G. Gomez

TRANSITIONAL BROKER
DRAPER, UT 84020
Some features on this profile are disabled
CRD#: 2141107
DG
Daniel Gerald GomezTRANSITIONAL BROKER

Professional summary

Daniel Gerald Gomez is a registered financial professional currently at TRANSITIONAL BROKER LLC located in Draper, Utah.

Daniel is registered as a RR (Registered Representative) and started their career in finance in 1991. Daniel has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Aliases

None

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) - BD

Click below to view Daniel Gerald Gomez's CRS (Customer Relationship Summary).
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®
None

Experience

Current

July 20, 2026 - Present

TRANSITIONAL BROKER LLC

Office #1: 11650 S. State Street, Suite 200, Draper, UT 84020
BD
CRD#: 304313
DRAPER, UT
Past

January 12, 2024 - July 22, 2026

DIVERSIFY ADVISORY SERVICES, LLC

RIA
CRD#: 326060
Salt Lake City, UT
Past

March 4, 2019 - February 9, 2024

DFPG INVESTMENTS, LLC

RIA
CRD#: 155576
Salt Lake City, UT
Past

March 1, 2019 - July 22, 2026

DFPG INVESTMENTS, LLC

BD
CRD#: 155576
Salt Lake City, UT
Past

June 3, 2002 - February 5, 2019

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
SALT LAKE CITY, UT
Past

May 2, 2002 - February 5, 2019

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
SALT LAKE CITY, UT
Past

March 1, 2000 - May 17, 2002

AMERITAS INVESTMENT COMPANY, LLC

BD
CRD#: 14869
LINCOLN, NE
Past

May 29, 1996 - March 15, 2000

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

May 16, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

BD
CRD#: 680
NEWARK, NJ
Past

May 16, 1991 - August 16, 1995

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ

State Registrations and Notice Filings

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

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
Texas
(7/20/2026)
RR
Utah
(7/22/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/12/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/16/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 5/14/1991
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TB
TRANSITIONAL BROKER LLC
TRANSITIONAL ADVISOR | TRANSITIONAL BROKER, LLC | TRANSITIONAL BROKER LLC | TRANSITIONAL BROKER

CRD#: 304313 / SEC#: , 8-70353

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
11650 S. State Street, Suite 200, Draper, UT 84020
Mailing Address
11650 S. State Street, Suite 200, Draper, UT 84020
Phone number
(801) 855-8886
Established
Utah since 05/09/2019
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (28 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
DAVID WM. JAMES, LLCOWNER
JAMES, DAVID WILLIAMCHIEF OPERATIONS OFFICER, CFO & PRINCIPAL1241412
MYERS, BRAD JEDDCHIEF COMPLIANCE OFFICER4171462
THORNTON, STEVEN LEEFINOP PRINCIPAL4496384

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.

Company Information

TRANSITIONAL BROKER LLC

CRD#: 304313Draper, UT 84020

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