Thomas A. Gomes
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.
Thomas Arnoldo Gomes, who also goes by Thomas A Gomes, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 2001. Thomas had worked at 5 firms and has passed the Series 66, SIE, Series 7, Series 10, Series 9 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 28, 2018 - January 3, 2020
SANTANDER SECURITIES LLC
November 15, 2018 - January 3, 2020
SANTANDER SECURITIES LLC
September 12, 2011 - January 13, 2017
MORGAN STANLEY
September 12, 2011 - January 13, 2017
MORGAN STANLEY
October 23, 2009 - October 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - October 26, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 19, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - April 6, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
October 20, 2004 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 4, 2002 - October 20, 2004
QUICK & REILLY, INC.
February 20, 2001 - October 20, 2004
QUICK & REILLY, INC.
Primary Firm SEC Registration
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
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
SANTANDER SECURITIES LLC
CRD#: 41791 / SEC#: 801-56796, 8-49571
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SANTANDER CAPITAL HOLDINGS, LLC | DIRECT OWNER | |
| BOWLER, DANIEL P | CHIEF FINANCIAL OFFICER | 5354805 |
| CARTER, LAWRENCE ANDREW | CHIEF COMPLIANCE OFFICER | 2113682 |
| CYLC, JOHN ALLAN II | NATIONAL BUSINESS DIRECTOR | 2917559 |
| NEURATH, DUSTIN | DIRECTOR | 8044630 |
| SCHMITZ, NICOLE | CHIEF OPERATIONS OFFICER | 2815862 |
| SNYDER, JONATHAN ANDREW | PRESIDENT & CEO | 6514215 |
| VANNAH, JAMES DOUGLASS | CHIEF LEGAL OFFICER & SECRETARY | 5679595 |
| VILLANO, ALYSON NICOLE | DIRECTOR | 7473984 |
| WATSON, JONATHAN EDWARD | DIRECTOR | 7631421 |
Regulatory assets under management
| Total Number of Accounts | 10,401 |
| AUM (Assets Under Management) | $ 2,553,311,017 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 7 |
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.
