Hugo A. Gomez
Professional summary
Hugo Alexander Gomez was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Hugo is a previously registered financial professional and started their career in finance in 1999. Prior to being barred, Hugo had worked at 19 firms, which includes PHX FINANCIAL INC., OLSON CROSS & ALAMO LLC, CALDWELL INTERNATIONAL SECURITIES, CHARLES MORGAN SECURITIES INC., ROCKWELL GLOBAL CAPITAL LLC, BROOKVILLE CAPITAL PARTNERS, AVALON PARTNERS INC., JHS CAPITAL ADVISORS LLC, BRILL SECURITIES INC., VFINANCE INVESTMENTS INC, CLARK DODGE & CO. INC., GREAT EASTERN SECURITIES INC., INDEPENDENT SECURITIES INVESTORS CORPORATION, DPEC CAPITAL INC., BERRY-SHINO SECURITIES INC., HAPOALIM SECURITIES USA INC., WOODSTOCK FINANCIAL GROUP INC., PLATINUM EQUITIES INC., SOLID ISG CAPITAL MARKETS LLC.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 5, 2012 - May 3, 2013
PHX FINANCIAL, INC.
January 20, 2012 - August 23, 2012
OLSON, CROSS & ALAMO LLC
March 17, 2011 - October 21, 2011
CALDWELL INTERNATIONAL SECURITIES
June 28, 2010 - February 3, 2011
CHARLES MORGAN SECURITIES, INC.
August 24, 2009 - December 24, 2009
ROCKWELL GLOBAL CAPITAL LLC
February 2, 2009 - August 19, 2009
BROOKVILLE CAPITAL PARTNERS
October 31, 2008 - November 7, 2008
AVALON PARTNERS, INC.
September 5, 2008 - September 18, 2008
JHS CAPITAL ADVISORS, LLC
April 21, 2008 - September 5, 2008
BRILL SECURITIES, INC.
February 29, 2008 - April 22, 2008
VFINANCE INVESTMENTS, INC
January 4, 2007 - February 21, 2008
BRILL SECURITIES, INC.
February 7, 2006 - January 18, 2007
CLARK DODGE & CO., INC.
July 29, 2005 - February 14, 2006
GREAT EASTERN SECURITIES, INC.
August 6, 2004 - May 25, 2005
INDEPENDENT SECURITIES INVESTORS CORPORATION
November 19, 2002 - July 16, 2004
DPEC CAPITAL, INC.
May 15, 2001 - December 20, 2002
BERRY-SHINO SECURITIES, INC.
October 24, 2000 - May 24, 2001
HAPOALIM SECURITIES USA, INC.
June 12, 2000 - November 14, 2000
WOODSTOCK FINANCIAL GROUP, INC.
November 26, 1999 - July 19, 2000
PLATINUM EQUITIES, INC.
March 26, 1999 - May 3, 1999
SOLID ISG CAPITAL MARKETS, LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PHX FINANCIAL, INC.
CRD#: 144403 / SEC#: , 8-67653
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
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