Richard C. Gomez

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CRD#: 2683747

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.

Richard Carlos Gomez, who also goes by Richard Gomez, was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1995. Richard had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Gomez

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

September 21, 2015 - October 6, 2017

ALPHA CUBED INVESTMENTS, LLC

RIA

CRD#: 159347

IRVINE, CA

Past

October 30, 2007 - August 14, 2015

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

IRVINE, CA

Past

October 30, 2007 - August 14, 2015

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

IRVINE, CA

Past

September 21, 2007 - October 16, 2007

OPPENHEIMER & CO. INC.

RIA

CRD#: 249

NEWPORT BEACH, CA

Past

September 21, 2007 - October 16, 2007

OPPENHEIMER & CO. INC.

CRD#: 249

NEWPORT BEACH, CA

Past

December 18, 2003 - September 17, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

LAGUNA NIGUEL, CA

Past

December 18, 2003 - September 17, 2007

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

LAGUNA NIGUEL, CA

Past

March 17, 2003 - December 19, 2003

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

MISSION VIEJO, CA

Past

March 17, 2003 - December 19, 2003

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

April 21, 2000 - February 11, 2003

CITIGROUP GLOBAL MARKETS INC.

RIA

CRD#: 7059

LAGUNA NIGUEL, CA

Past

March 20, 2000 - February 11, 2003

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

March 2, 1998 - March 23, 2000

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

November 16, 1995 - March 13, 1998

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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".

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 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 65

Date: 11/27/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/21/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 8/14/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 12/6/1995

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 11/15/1995

General Securities Representative Examination

Current Firm

ALPHA CUBED INVESTMENTS, LLC

ALPHA CUBED INVESTMENTS, LLC | ALPHA RISK INVESTMENTS, LLC | ALPHA RISK INVESTMENTS

CRD#: 159347 / SEC#: 801-77372

RIA

Registered Investment Advisory firm - (11/15/2012 Approved)

California

Registered Investment Advisory firm - (2/16/2013 Terminated)

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Contact information

Main Address

1124 Bristol St., Costa Mesa, CA 92626

Mailing Address

Phone number

(800) 701-2457

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (43 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (4/1/2025)

Regulatory assets under management

Total Number of Accounts	4,786
AUM (Assets Under Management)	$ 3,026,637,539

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

Richard C. Gomez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

OPPENHEIMER & CO. INC.

OPPENHEIMER & CO. INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

CITIGROUP GLOBAL MARKETS INC.

CITIGROUP GLOBAL MARKETS INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ALPHA CUBED INVESTMENTS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/27/1995

Series 63

Date: 11/21/1995

SIE

Date: 8/14/2015

Series 31

Date: 12/6/1995

Series 7

Date: 11/15/1995

Current Firm

ALPHA CUBED INVESTMENTS, LLC

Contact information

SEC notice filing (43 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ALPHA CUBED INVESTMENTS, LLC

TRUST BUT VERIFY

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