Diana J. Gomez

CRD#: 2210842

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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.

Diana Joleen Gomez, who also goes by Diana J Gomez, Diana J. Rosiere, was a registered financial professional .

Diana is a previously registered financial professional and started their career in finance in 1993. Diana had worked at 4 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Diana J Gomez | Diana J. Rosiere

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

December 14, 2009 - December 14, 2017

PINION WEALTH MANAGEMENT, LLC

RIA

CRD#: 114556

WICHITA, KS

Past

October 16, 2009 - November 30, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

WICHITA, KS

Past

January 1, 2008 - September 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

WICHITA, KS

Past

January 1, 2008 - September 21, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

WICHITA, KS

Past

December 15, 2005 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA

CRD#: 4

WICHITA, KS

Past

July 27, 1993 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

WICHITA, KS

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".

PINION WEALTH MANAGEMENT, LLC

KC ADVISORS, LLC | PINION WEALTH MANAGEMENT, LLC | PINION INVESTMENT ADVISORS, LLC | KCOE WEALTH MANAGEMENT, LLC | KC INVESTMENT ADVISORS, LLC

CRD#: 114556 / SEC#: 801-63322

RIA

Registered Investment Advisory firm - (7/2/2004 Approved)

Colorado

Registered Investment Advisory firm - (7/26/2004 Terminated)

Kansas

Registered Investment Advisory firm - (10/20/2005 Terminated)

Nebraska

Registered Investment Advisory firm - (7/30/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2004 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 66

Date: 12/14/2005

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 8/30/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 11/30/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/26/1993

General Securities Representative Examination

Current Firm

PINION WEALTH MANAGEMENT, LLC

KC ADVISORS, LLC | PINION WEALTH MANAGEMENT, LLC | PINION INVESTMENT ADVISORS, LLC | KCOE WEALTH MANAGEMENT, LLC | KC INVESTMENT ADVISORS, LLC

CRD#: 114556 / SEC#: 801-63322

RIA

Registered Investment Advisory firm - (7/2/2004 Approved)

Colorado

Registered Investment Advisory firm - (7/26/2004 Terminated)

Kansas

Registered Investment Advisory firm - (10/20/2005 Terminated)

Nebraska

Registered Investment Advisory firm - (7/30/2004 Terminated)

Texas

Registered Investment Advisory firm - (7/22/2004 Terminated)

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Contact information

Main Address

1605 North Waterfront Parkway Suite 200, Wichita, KS 67206

Mailing Address

Phone number

(316) 682-8344

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (10 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART 2A-20250411 (4/16/2025)

Regulatory assets under management

Total Number of Accounts	1,340
AUM (Assets Under Management)	$ 649,043,048

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

Diana J. Gomez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

A. G. EDWARDS & SONS, INC.

Primary Firm SEC Registration

PINION WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/14/2005

Series 63

Date: 8/30/1993

SIE

Date: 11/30/2017

Series 7

Date: 7/26/1993

Current Firm

PINION WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (10 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PINION WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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