Ruthe P. Gomez
Professional summary
Ruthe Pessin Gomez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ruthe is a previously registered financial advisor and started their career in finance in 1969. Prior to being barred, Ruthe had worked at 9 firms, which includes WHITE PACIFIC SECURITIES INC., MANDARIN PACIFIC ASSET MANAGEMENT LLC, ADVISORY FINANCIAL CONSULTANTS INC., AMERICAN INVESTORS COMPANY, TRADERIGHT SECURITIES INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, LINCOLN NATIONAL PENSION INSURANCE COMPANY, PLANNED INVESTMENTS INC., DAVE FRIES AND ASSOCIATES.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 3, 2009 - March 9, 2012
WHITE PACIFIC SECURITIES, INC.
September 1, 2009 - September 17, 2012
MANDARIN PACIFIC ASSET MANAGEMENT, LLC
August 19, 2009 - September 16, 2009
ADVISORY FINANCIAL CONSULTANTS, INC.
October 15, 2007 - November 13, 2007
AMERICAN INVESTORS COMPANY
January 25, 2007 - August 16, 2007
TRADERIGHT SECURITIES, INC.
August 25, 2002 - July 10, 2009
ADVISORY FINANCIAL CONSULTANTS, INC.
January 3, 1989 - September 2, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 14, 1987 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 22, 1979 - July 10, 2009
ADVISORY FINANCIAL CONSULTANTS, INC.
February 2, 1979 - September 27, 1979
PLANNED INVESTMENTS INC.
April 29, 1969 - March 10, 1979
DAVE FRIES AND ASSOCIATES
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 1
Date: 6/9/1966
Registered Representative ExaminationF04
Date: 12/26/1978
Financial Principal ExaminationSeries 40
Date: 8/24/1978
Registered Principal ExaminationCurrent Firm
WHITE PACIFIC SECURITIES, INC.
CRD#: 42505 / SEC#: , 8-49936
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
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