Manuel A. Mejia Gomez
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.
Manuel Angel Mejia Gomez, who also goes by Manuel Gomez, Manuel Angel Mejia, Manuel Angel Mejia-gomez, Manuel Mejia-gomez, was a registered financial advisor .
Manuel is a previously registered financial advisor and started their career in finance in 1992. Manuel had worked at 3 firms and has passed the Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 4, 2013 - January 29, 2015
POPULAR SECURITIES, LLC
August 9, 2011 - January 31, 2012
POPULAR SECURITIES, LLC
March 27, 2006 - January 29, 2015
POPULAR SECURITIES, LLC
November 10, 1992 - March 28, 2006
MORGAN STANLEY DW INC.
September 10, 1992 - September 21, 1992
QUEST CAPITAL STRATEGIES, INC.
Primary Firm SEC Registration
POPULAR SECURITIES, LLC
CRD#: 8096 / SEC#: 801-57928, 8-24216
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
POPULAR SECURITIES, LLC
CRD#: 8096 / SEC#: 801-57928, 8-24216
Contact information
SEC notice filing (7 States and Territories)
FINRA licenses (37 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| POPULAR, INC. | HOLDING COMPANY | |
| ACOSTA-ASHBY, MARLA MARIE | CHIEF OPERATING OFFICER AND ELECTED MANAGER | 3256258 |
| CESTERO CASANOVA, LUIS ENRIQUE | ELECTED MANAGER | 7829616 |
| CINTRON ROSARIO, OLGA YARITZA | BRANCH MANAGER | 5055094 |
| COLON ORTIZ, ROSA ANGELA | SENIOR FINANCIAL COMPLIANCE MANAGER | 4202101 |
| DIAZ DEL LLANO, BEATRIZ L | PRINCIPAL FINANCIAL OFFICER | 4576581 |
| FERRER, JAVIER DAVID | ELECTED MANAGER | 7356518 |
| GARCIA INCLAN, FRANCISCO ROBERTO | CHIEF COMPLIANCE OFFICER | 6900966 |
| GARCIA MUÑOZ, JORGE JOSE | ELECTED MANAGER | 7902856 |
| TORO LAVERGNE, JAIME ANTONIO | PRESIDENT AND ELECTED MANAGER | 5984147 |
| TORRES OLMO, ELSIE M | BRANCH MANAGER | 4056079 |
| TORRES RAMOS, JOSE JOAQUIN | PRINCIPAL OPERATIONS OFFICER | 1684523 |
Regulatory assets under management
| Total Number of Accounts | 2,624 |
| AUM (Assets Under Management) | $ 2,260,511,216 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 6 |
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.
