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WG

Wesley E. Gomez

Some features on this profile are disabled
CRD#: 4283425
WG

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.

Wesley Ekolu Gomez was a registered financial professional .

Wesley is a previously registered financial professional and started their career in finance in 2001. Wesley had worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

December 5, 2018 - January 19, 2022

PERSONAL CAPITAL ADVISORS CORPORATION

RIA
CRD#: 155172
ATLANTA, GA
Past

January 19, 2016 - January 18, 2018

TD AMERITRADE, INC.

RIA
CRD#: 7870
HONOLULU, HI
Past

January 19, 2016 - January 18, 2018

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA
CRD#: 111514
Honolulu, HI
Past

January 19, 2016 - January 18, 2018

TD AMERITRADE, INC.

BD
CRD#: 7870
HONOLULU, HI
Past

October 22, 2014 - January 14, 2016

LPL FINANCIAL LLC

BD
CRD#: 6413
KANEOHE, HI
Past

September 25, 2014 - January 14, 2016

LPL FINANCIAL LLC

RIA
CRD#: 6413
KANEOHE, HI
Past

January 17, 2011 - December 21, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
HONOLULU, HI
Past

December 23, 2010 - December 21, 2012

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
HONOLULU, HI
Past

October 1, 2001 - January 26, 2009

GUGGENHEIM DISTRIBUTORS, LLC

BD
CRD#: 40805
ROCKVILLE, MD

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.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/14/2011
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/29/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/24/2007
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/29/2001
Investment Company Products/Variable Contracts Representative Examination

Current Firm

PC
PERSONAL CAPITAL ADVISORS CORPORATION
PERSONAL CAPITAL ADVISORS CORPORATION | SAFECORP ADVISORS CORPORATION

CRD#: 155172 / SEC#: 801-72613

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Contact information

Main Address
8515 East Orchard Road, Greenwood Village, CO 80111
Mailing Address
Phone number
(855) 855-8005
Established
Firm type
Fiscal year end
# of Employees
367

Documents

Latest Form ADV

Part 2 Brochures

PERSONAL CAPITAL ADVISORS CORPORATION FORM ADV 2A 02.15.2023 (2/15/2023)

Regulatory assets under management

Total Number of Accounts104,861
AUM (Assets Under Management)$ 23,087,723,467

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.

Company Information

PERSONAL CAPITAL ADVISORS CORPORATION

CRD#: 155172

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